Joseph P. Parker

CAROLINA WEALTH MANAGEMENT

Greenville, NC 27858

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CRD#: 5436765

Professional summary

Joseph Parish Parker is a registered financial advisor currently at CAROLINA WEALTH MANAGEMENT, INC. located in Greenville, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Parish 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

April 15, 2020 - Present

CAROLINA WEALTH MANAGEMENT, INC.

Office #1: 1706-a East Arlington Blvd., Greenville, NC 27858

RIA

CRD#: 131393

Greenville, NC

Past

July 7, 2017 - March 25, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Raleigh, NC

Past

August 2, 2016 - March 25, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

Raleigh, NC

Past

January 31, 2013 - August 5, 2016

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 1, 2009 - January 14, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

February 4, 2008 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

MOORESVILLE, NC

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".

CAROLINA WEALTH MANAGEMENT, INC.

CRD#: 131393 / SEC#: 801-63091

RIA

Registered Investment Advisory firm - (5/7/2004 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/15/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/1/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAROLINA WEALTH MANAGEMENT, INC.

CRD#: 131393 / SEC#: 801-63091

RIA

Registered Investment Advisory firm - (5/7/2004 Approved)

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Contact information

Main Address

1706-a East Arlington Blvd., Greenville, NC 27858

Mailing Address

Phone number

(252) 439-1344

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWM ADV PART 2 (2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,404
AUM (Assets Under Management)	$ 711,811,237

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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Advisor Monitoring

Firm Stability Insights

Joseph P. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Parish Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

CAROLINA WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2017

Series 63

Date: 3/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/4/2017

Series 6

Date: 2/1/2008

Current Firm

CAROLINA WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAROLINA WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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