Allan L. Parks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allan Lee Parks, who also goes by Allan L Parks, Allan Parks, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 2007. Allan had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - May 12, 2021
CAPITAL CLIENT GROUP, INC.
November 6, 2018 - May 12, 2021
CAPITAL CLIENT GROUP, INC.
September 12, 2014 - October 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2014 - October 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2011 - August 21, 2014
WEDBUSH SECURITIES INC.
August 18, 2010 - February 11, 2011
BCP SECURITIES, INC.
April 30, 2010 - August 2, 2010
EQUUS FINANCIAL CONSULTING LLC
November 22, 2007 - July 25, 2008
BARCLAYS CAPITAL INC.
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/8/2023
General Securities Representative ExaminationSeries 55
Date: 11/15/2013
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
