Keith W. Parker

CARGILE INVESTMENT MANAGEMENT

Midland, TX 79701

Some features on this profile are disabled

CRD#: 730668

Professional summary

Keith Wayne Parker is a registered financial advisor currently at CARGILE INVESTMENT MANAGEMENT located in Midland, Texas.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Keith has worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 27 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.

-INSURANCE PRODUCT SALES AS KEITH PARKER. 5% OF TIME SPENT CONDUCTING ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Wayne 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®

None

Experience

Current

February 24, 2012 - Present

CARGILE INVESTMENT MANAGEMENT

Office #1: 415 West Wall Street Suite 2200, Midland, TX 79701

RIA

CRD#: 116982

Midland, TX

Past

April 28, 2006 - June 22, 2007

CARGILE INVESTMENT MANAGEMENT

RIA

CRD#: 116982

MIDLAND, TX

Past

August 10, 2005 - April 7, 2006

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

MIDLAND, TX

Past

August 10, 2005 - April 7, 2006

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

MIDLAND, TX

Past

March 17, 2004 - August 9, 2005

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

MIDLAND, TX

Past

March 17, 2004 - August 9, 2005

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

September 19, 2003 - February 26, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

MIDLAND, TX

Past

July 22, 2003 - February 26, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

April 23, 2002 - July 10, 2003

THE ADVISORS GROUP, INC.

RIA

CRD#: 14035

MIDLAND, TX

Past

February 1, 1997 - July 10, 2003

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

January 2, 1996 - December 31, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 29, 1991 - December 31, 1995

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

October 24, 1989 - August 2, 1991

TEXAS SECURITIES, INC.

CRD#: 7655

FT. WORTH, TX

Past

January 26, 1989 - November 3, 1989

VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.

CRD#: 15697

Past

March 11, 1985 - January 28, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

Past

December 17, 1984 - March 29, 1985

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

Past

April 4, 1983 - September 28, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 18, 1981 - April 15, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CARGILE INVESTMENT MANAGEMENT

CARGILE INVESTMENT MANAGEMENT | WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P. | CARGILE INVESTMENTS | CARGILE INVESTMENT MANAGEMENT, LLP | CARGILE INVESTMENT MANAGEMENT, INC.

CRD#: 116982 / SEC#: 801-64513

RIA

Registered Investment Advisory firm - (7/15/2005 Approved)

Texas

Registered Investment Advisory firm - (9/28/2005 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

Texas
(2/24/2012)

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: 2/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/26/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 11/21/1988

Financial and Operations Principal Examination

Current Firm

CARGILE INVESTMENT MANAGEMENT

CARGILE INVESTMENT MANAGEMENT | WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P. | CARGILE INVESTMENTS | CARGILE INVESTMENT MANAGEMENT, LLP | CARGILE INVESTMENT MANAGEMENT, INC.

CRD#: 116982 / SEC#: 801-64513

RIA

Registered Investment Advisory firm - (7/15/2005 Approved)

Texas

Registered Investment Advisory firm - (9/28/2005 Terminated)

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

415 West Wall Street Suite 2200, Midland, TX 79701

Mailing Address

Phone number

(432) 617-1394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 383,040,142

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

Kevin Smith

JANNEY MONTGOMERY SCOTT LLC

IAR

York, PA

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Jeremiah Nolen

NEXT PHASE ADVISORS

IAR

Cullman, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith W. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Wayne Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARGILE INVESTMENT MANAGEMENT

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

THE ADVISORS GROUP, INC.

THE ADVISORS GROUP, INC.

WALNUT STREET SECURITIES, INC.

SIGNAL SECURITIES, INC.

TEXAS SECURITIES, INC.

VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.

SOURCE SECURITIES, INC.

INVESTORS BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CARGILE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2012

Series 63

Date: 6/4/1981

Series 3

Date: 2/26/1994

Series 5

Date: 10/17/1981

Series 7

Date: 5/16/1981

Series 27

Date: 11/21/1988

Current Firm

CARGILE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARGILE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Similar Advisors