Seth A. Parker

BANKER INVESTMENT GROUP

WEST LAFAYETTE, IN 47906

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CRD#: 6198929

Professional summary

Seth Alan Parker, AIF® is a registered financial advisor currently at BANKER INVESTMENT GROUP located in West Lafayette, Indiana.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Seth has worked at 2 firms and has passed the Series 65, Series 63, SIE 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.

Health Insurance Sales ~ 206 Tipton St., Battle Ground IN 47920 ~ Insurance Agent ~ 01-2015 to present ~ 2 hours/month devoted not during securities trading hours ~ Duties: Assist family and friends to find health insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Alan 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 10, 2017 - Present

BANKER INVESTMENT GROUP

Office #1: 1241 Cumberland Avenue Suite B, West Lafayette, IN 47906

RIA

CRD#: 109650

WEST LAFAYETTE, IN

Past

July 14, 2016 - December 14, 2016

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

LAFAYETTE, IN

Past

June 27, 2013 - December 14, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

LAFAYETTE, IN

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".

BANKER INVESTMENT GROUP

BANKER INVESTMENT GROUP | BANKER INVESTMENT GROUP INC

CRD#: 109650 / SEC#: 801-79396

RIA

Registered Investment Advisory firm - (3/24/2014 Approved)

Illinois

Registered Investment Advisory firm - (2/10/2014 Terminated)

Indiana

Registered Investment Advisory firm - (3/25/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Indiana
(1/10/2017)

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: 6/30/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/27/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BANKER INVESTMENT GROUP

BANKER INVESTMENT GROUP | BANKER INVESTMENT GROUP INC

CRD#: 109650 / SEC#: 801-79396

RIA

Registered Investment Advisory firm - (3/24/2014 Approved)

Illinois

Registered Investment Advisory firm - (2/10/2014 Terminated)

Indiana

Registered Investment Advisory firm - (3/25/2014 Terminated)

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Contact information

Main Address

1241 Cumberland Avenue Suite B, West Lafayette, IN 47906

Mailing Address

Phone number

(765) 497-0197

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BANKER INVESTMENT GROUP FIRM DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	966
AUM (Assets Under Management)	$ 259,619,658

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

Seth A. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Alan Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BANKER INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2016

Series 63

Date: 7/12/2013

SIE

Date: 12/14/2016

Series 6

Date: 6/27/2013

Current Firm

BANKER INVESTMENT GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKER INVESTMENT GROUP

TRUST BUT VERIFY

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