Kyle S. Parker
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.
Kyle S Parker, who also goes by Kyle Stephen Parker, Kyle Parker, was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2008. Kyle had worked at 3 firms and has passed the Series 65, Series 63 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
September 29, 2011 - December 3, 2012
WINDHAVEN INVESTMENT MANAGEMENT, INC.
October 23, 2009 - May 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
Current Firm
WINDHAVEN INVESTMENT MANAGEMENT, INC.
CRD#: 155138 / SEC#: 801-71836
Contact information
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.
