CP
Cole G. Parks
SOUTHWESTERN ADVISORY GROUP LLC
Stephenville, TX 76401
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CRD#: 4941163
CP
Professional summary
Cole Gilliam Parks is a registered financial advisor currently at SOUTHWESTERN ADVISORY GROUP LLC located in Stephenville, Texas.
Cole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Cole has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Southwestern Enterprises,-Holding Company-105 East Road, Stephenville, TX 76401-Holding Company-Managing Member-3/2014-200 hrs/mth-8hrs/day during trading hrs-Review Books & Records.
2. Stephenville Economic Development-Not investment related-Stephenville, TX 76401-Foundation-Board member-1/2014-1-9 hrs/mth-100% during trading hrs-community development & engagement
3. Texas Association of School Boards (TASB)-Not investment related-Austin, TX 78767-Education-Member of the Legislative Advisory Council (LAC)-3/2016-1-9 hrs/mth-0 during trading hrs-Determine & omplement regional and statewide legislative parties
4. Ancient free & accepted masons-not investment related-Stephenville, TX 76401-1/2012-1-9 hrs/mth-100% during trading hrs-General duties of a foundation advisor
5. Stephenville Independent School District-Not investment related-Stephenville, TX 76401-Education-Board member-1/2014-1-9 hrs/mth-0 during trading hrs-General duties for a school board member
6. Parks Southwestern Management Services, LLC. Not investment related. Bookeeping, payroll, bill payments, benefits and expense management.105 East Road, Stephenville, TX 76401. Managing Member. 32 hours.month 8 during trading. Bookeeping, payroll, bill payments, benefits, expense management, record keeping, registered agent services, executive office, human resources and other various third-party business management services.
CRS (Client Relationship Summary) - RIA
Click below to view Cole Gilliam Parks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 9, 2016 - Present
SOUTHWESTERN ADVISORY GROUP LLC
Office #1: 105 East Road, Stephenville, TX 76401RIA
CRD#: 282950
Stephenville, TX
Past
March 23, 2016 - December 31, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Stephenville, TX
Past
May 29, 2009 - March 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
STEPHENVILLE, TX
Past
July 8, 2008 - March 11, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
STEPHENVILLE, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(9/6/2023)
IAR
Texas(3/9/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SOUTHWESTERN ADVISORY GROUP LLC
PARKS' SOUTHWESTERN ADVISORY GROUP, LLC | SOUTHWESTERN ADVISORY GROUP, LLC | SOUTHWESTERN ADVISORY GROUP LLC | SOUTHWESTERN ADVISORY GROUP | PARKS' SOUTHWESTERN ENTERPRISES, LLC
CRD#: 282950 / SEC#: 801-107352
RIA
Registered Investment Advisory firm - (5/3/2017 Terminated)Louisiana
Registered Investment Advisory firm - (9/6/2023 Approved)Texas
Registered Investment Advisory firm - (4/13/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
105 East Road, Stephenville, TX 76401
Mailing Address
Phone number
(254) 968-6428
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 373 |
| AUM (Assets Under Management) | $ 37,000,000 |
Red Flags
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