Parker T. Austin

EMBARCADERO CAPITAL ADVISORS

SAN FRANCISCO, CA

Some features on this profile are disabled

CRD#: 6270114

Professional summary

Parker Terrill Austin, who also goes by Parker Austin, is a registered financial advisor currently at EMBARCADERO CAPITAL ADVISORS, INC. located in San Francisco, California.

Parker is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Parker has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Parker Austin

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.

1. INDEPENDENT INSURANCE AGENT; INVESTMENT-RELATED; 23151 VERDUGO DRIVE, LAGUNA HILLS, CA 92653; INSURANCE, INDEPENDENT INSURANCE AGENT; START 6/17/2024; APPROX 4 HRS/MO; 4 HRS/MO (DURING TRADING HOURS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Parker Terrill Austin'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®

None

Experience

Current

January 10, 2024 - Present

EMBARCADERO CAPITAL ADVISORS, INC.

RIA

CRD#: 329285

SAN FRANCISCO, CA

Past

June 21, 2024 - October 3, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 7, 2022 - July 1, 2022

LPL FINANCIAL LLC

CRD#: 6413

SAN FRANCISCO, CA

Past

September 18, 2020 - December 26, 2023

JANUARY CAPITAL ADVISORS LLC

RIA

CRD#: 177514

SAN FRANCISCO, CA

Past

September 8, 2020 - December 31, 2021

LPL FINANCIAL LLC

CRD#: 6413

SAN FRANCISCO, CA

Past

March 10, 2014 - September 9, 2020

EDWARD JONES

RIA

CRD#: 250

SAN FRANCISCO, CA

Past

December 23, 2013 - September 9, 2020

EDWARD JONES

CRD#: 250

SAN FRANCISCO, CA

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

Arizona
(8/21/2025)

IAR

California
(1/10/2024)

IAR

Nevada
(5/9/2025)

IAR

Texas
(4/26/2025)

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 66

Date: 1/10/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2013

General Securities Representative Examination

Current Firm

EMBARCADERO CAPITAL ADVISORS, INC.

E. | EMBARCADERO. | EMBARCADERO CAPITAL ADVISORS, INC. | EMBARCADERO CAPITAL ADVISORS

CRD#: 329285 / SEC#: 801-129306

RIA

Registered Investment Advisory firm - (8/1/2024 Terminated)

Arizona

Registered Investment Advisory firm - (8/21/2025 Approved)

California

Registered Investment Advisory firm - (7/31/2024 Approved)

Nevada

Registered Investment Advisory firm - (5/8/2025 Approved)

Texas

Registered Investment Advisory firm - (3/20/2025 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

23151 Verdugo Drive Suite 106, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 371-9796

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 53,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Parker T. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Parker Terrill Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMBARCADERO CAPITAL ADVISORS, INC.

THE LEADERS GROUP, INC.

LPL FINANCIAL LLC

JANUARY CAPITAL ADVISORS LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2013

Current Firm

EMBARCADERO CAPITAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMBARCADERO CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors