GP
Graeme N. Parker
CANACCORD GENUITY LLC
Toronto, M5H 0B4
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CRD#: 6129385
GP
Professional summary
Graeme Nath Parker is a registered financial professional currently at CANACCORD GENUITY LLC .
Graeme is registered as a RR (Registered Representative) and started their career in finance in 2013. Graeme has worked at 2 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Graeme Nath Parker's 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®
NoneExperience
Current
October 21, 2014 - Present
CANACCORD GENUITY LLC
Office #1: 40 Temperance Street Suite 2100, Toronto, M5H 0B4BD
CRD#: 1020
Toronto,
Past
February 18, 2013 - October 14, 2014
PARADIGM CAPITAL U.S. INC.
BD
CRD#: 104425
TORONTO ONTARIO,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/21/2014)
RR
Massachusetts(10/21/2014)
RR
New York(10/21/2014)
RR
Texas(10/21/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 2/16/2013
Canada Module of the General Securities Registered Representative (With Options Questions)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CG
CANACCORD GENUITY LLC
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
CRD#: 1020 / SEC#: , 8-3271
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119
Mailing Address
1 Post Office Square, Boston, MA 02109
Phone number
(212) 389-8000
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CANACCORD GENUITY LLC
CRD#: 1020Toronto, M5H 0B4TRUST BUT VERIFY
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