Richard P. 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.
Richard Paul Parker Jr, who also goes by Richard Paul Parker Jr, Richard Paul Parker, Richard Parker, Rick Parker, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2010. Richard had worked at 9 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2025 - June 23, 2026
FISHER INVESTMENTS
March 18, 2019 - February 16, 2025
GRANT WILLIAMS L.P.
October 10, 2016 - February 17, 2017
OSAIC FS, INC.
October 10, 2016 - February 17, 2017
OSAIC FS, INC.
February 4, 2016 - August 30, 2016
FREEDOM INVESTMENT MANAGEMENT, INC.
April 6, 2015 - September 15, 2015
CURIAN CLEARING, LLC
December 11, 2014 - September 15, 2015
CURIAN CAPITAL, LLC
December 5, 2012 - March 17, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 23, 2012 - December 13, 2012
LPL FINANCIAL LLC
May 23, 2012 - December 13, 2012
LPL FINANCIAL LLC
May 7, 2010 - May 30, 2012
EDWARD JONES
April 26, 2010 - May 30, 2012
EDWARD JONES
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
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.
