James A. 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.
James Arthur Parker was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 1985 - June 29, 2020
WILSON PARKER CONNALLY STEPHENSON INC
June 16, 1985 - July 9, 1985
KERCHEVILLE & COMPANY, INC.
June 24, 1976 - June 14, 1985
ROTAN MOSLE INC.
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
Current Firm
WILSON PARKER CONNALLY STEPHENSON INC
CRD#: 16505 / SEC#: , 8-34061
Contact information
FINRA licenses (16 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
