Benjamin R. Parker

CETERA INVESTMENT ADVISERS LLC

COVINGTON, LA 70435

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CRD#: 5129837

Professional summary

Benjamin Ross Parker, who also goes by Ben Ross Parker, Benjamin R Parker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Covington, Louisiana and CETERA INVESTMENT SERVICES LLC located in Covington, Louisiana.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Benjamin has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Ross Parker | Benjamin R Parker

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.) ASSIST SPOUSE IN RESELLING VARIOUS PRODUCTS; 1 HR/WK 2.) SUCCESSOR CO-TRUSTEE OF THE ANGELA C AVANT LIVING TRUST 3.) EXECUTOR OF ANGELA C AVANT'S WILL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Ross Parker's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 200 Covington Center, Covington, LA 70435

RIA

CRD#: 105644

COVINGTON, LA

Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 200 Covington Center, Covington, LA 70435

CRD#: 15340

Covington, LA

Past

September 9, 2016 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

COVINGTON, LA

Past

September 9, 2016 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

COVINGTON, LA

Past

March 22, 2016 - September 19, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANDEVILLE, LA

Past

March 22, 2016 - September 19, 2016

LPL FINANCIAL LLC

CRD#: 6413

MANDEVILLE, LA

Past

January 28, 2015 - March 23, 2016

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - March 23, 2016

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MANDEVILLE, LA

Past

April 10, 2012 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

May 31, 2008 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MANDEVILLE, LA

Past

May 23, 2006 - May 31, 2008

CAPITAL ONE INVESTMENTS, LLC

CRD#: 17526

MANDEVILLE, LA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Alabama
(8/10/2022)

Florida
(8/10/2022)

Louisiana
(8/10/2022)

IAR

Louisiana
(8/10/2022)

Mississippi
(8/10/2022)

New York
(8/10/2022)

Texas
(8/10/2022)

IAR

Texas
(8/10/2022)

Wyoming
(2/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/13/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Benjamin R. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Ross Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

CAPITAL ONE INVESTMENTS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2012

Series 63

Date: 9/28/2006

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2006

Series 53

Date: 10/13/2017

Series 24

Date: 9/25/2017

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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