James A. 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.
James Andrew Parker, who also goes by Drew Parker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 4 firms and has passed the Series 66 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
April 22, 2013 - March 11, 2021
STONEBRIDGE WEALTH MANAGEMENT, LTD., CO.
November 23, 2010 - October 23, 2012
STONEBRIDGE WEALTH MANAGEMENT, LTD., CO.
June 3, 2010 - October 13, 2010
INVEST FINANCIAL CORPORATION
June 3, 2010 - October 13, 2010
INVEST FINANCIAL CORPORATION
June 1, 2009 - February 26, 2010
MORGAN STANLEY
June 1, 2009 - February 26, 2010
MORGAN STANLEY
October 2, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
STONEBRIDGE WEALTH MANAGEMENT, LTD., CO.
CRD#: 155149 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 7,224,606 |
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.
