Christopher M. Parks
OSAIC INSTITUTIONS
Springfield, IL 62701
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CRD#: 4974240
Professional summary
Christopher Matthew Parks, CFP®, who also goes by Chris M. Parks, Christopher Parks, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Springfield, Illinois.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris M. Parks | Christopher Parks
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) ST. JOSEPH'S CHURCH - NOT INVESTMENT RELATED - CHATHAM IL - RELIGIOUS/CHURCH - MEMBER FINANCE COUNSEL FOR PARISH - 06/01/2008 - PROVIDE FINANCIAL MANAGEMENT GUIDANCE TO PASTOR - 0 COMPENSATION - 0 HRS DURING BUSINESS HRS - 2 HRS DURING NON BUSINESS HRS - NO CONFLICTS OF INTEREST.
2) INB WEALTH STRATEGIES - SPRINGFIELD IL - CPA/TAX RETURN PREP - 70 HRS (01/15 - 04/15) DURING BUSINESS HRS - 80 HRS (01/15 - 04/15) DURING NON BUSINESS HRS - NO CONFLICTS OF INTEREST.
3)ILLINOIS NATIONAL BANK - NOT INVESTMENT RELATED - SPRINGFIELD IL - BANK - SENIOR VICE PRESIDENT - 01/02/2013 - BANKING SOURCES - 1 HR/DAY DURING BUSINESS HRS - 4 HRS/WEEK DURING BUSINESS HRS - NO CONFLICTS OF INTEREST.
4) Chatham Police Pension Fund - Governmental Body-Village of Chatham IL Police Pension Fund - Vice President of Police Pension Fund. Serve to provide oversight and management of a third party money manager responsible for the pension fund's assets - Vice President, Board Member - no compensation - 0 hours during business hours - 2 hours, 6 times a year during non-business hours - start date 02/01/2017 - Chatham, IL - no conflicts of interest.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Matthew Parks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Matthew 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®
CFP®
Start date: 2009
Experience
Current
November 1, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 322 E. Capitol Ave, Springfield, IL 62701Office #2: 2601 Chatham Rd, Springfield, IL 62704RIA
BD
CRD#: 35371
Springfield, IL
Current
November 1, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 322 E. Capitol Ave, Springfield, IL 62701Office #2: 2601 Chatham Rd, Springfield, IL 62704RIA
BD
CRD#: 35371
Springfield, IL
Past
January 4, 2013 - November 5, 2019
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
SPRINGFIELD, IL
Past
January 3, 2013 - November 5, 2019
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
SPRINGFIELD, IL
Past
June 4, 2010 - January 4, 2013
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SPRINGFIELD, IL
Past
June 4, 2010 - January 4, 2013
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SPRINGFIELD, IL
Past
October 18, 2005 - May 13, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SPRINGFIELD, IL
Past
August 9, 2005 - May 13, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SPRINGFIELD, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/1/2019)
RR
California(11/1/2019)
RR
Colorado(8/17/2022)
RR
District of Columbia(11/1/2019)
RR
Florida(11/1/2019)
RR
Georgia(11/1/2019)
RR
Illinois(11/14/2019)
IAR
Illinois(11/14/2019)
RR
Indiana(11/1/2019)
RR
Iowa(7/13/2020)
RR
Missouri(11/1/2019)
RR
Ohio(11/1/2019)
RR
Oregon(10/26/2023)
RR
South Carolina(11/1/2019)
RR
Texas(11/1/2019)
IAR
Texas(11/1/2019)
RR
Utah(10/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Springfield, IL 62701TRUST BUT VERIFY
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