Charles M. Parker

Atlanta, GA 30326

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CRD#: 833053

Professional summary

Charles M. Parker, who also goes by Charles Michael Parker, Chip Parker, is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Atlanta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Charles has worked at 14 firms and has passed the Series 63, Series 82TO, SIE, Series 31, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Michael Parker | Chip Parker

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.

CMP LLC,ALPHARETTA ,GA 30022-STOCKS AND SECURITIES-OWNER-INVESTING THROUGH ACCOUNT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles M. 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

March 18, 2016 - Present

REGISTER FINANCIAL ADVISORS, LLC

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

RIA

CRD#: 143884

Atlanta, GA

Current

March 17, 2016 - Present

REGISTER FINANCIAL ASSOCIATES, INC.

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326

CRD#: 30568

Atlanta, GA

Past

June 1, 2009 - April 8, 2016

MORGAN STANLEY

RIA

CRD#: 149777

ATLANTA, GA

Past

June 1, 2009 - April 8, 2016

MORGAN STANLEY

CRD#: 149777

ATLANTA, GA

Past

July 13, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ATLANTA, GA

Past

July 13, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ATLANTA, GA

Past

January 5, 2001 - July 23, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

January 5, 2001 - July 23, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

October 2, 1990 - January 16, 2001

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

July 28, 1989 - October 10, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 31, 1989 - August 5, 1989

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

November 18, 1987 - April 19, 1989

MARSHALL & CO. SECURITIES, INC.

CRD#: 17942

Past

August 30, 1984 - November 30, 1987

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

May 21, 1984 - September 28, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

January 30, 1981 - May 7, 1984

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

September 26, 1978 - March 2, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 1, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 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.

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

Alabama
(3/17/2016)

Colorado
(9/3/2021)

Florida
(3/17/2016)

Georgia
(3/17/2016)

IAR

Georgia
(3/18/2016)

Kentucky
(1/9/2018)

Louisiana
(9/14/2021)

New York
(1/5/2018)

North Carolina
(3/17/2016)

South Carolina
(3/17/2016)

Tennessee
(10/17/2019)

Texas
(3/17/2016)

IAR

Texas
(4/21/2016)

Virginia
(1/3/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/19/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/30/2003

Futures Managed Funds Examination

General Industry/Product Exam

PC

Date: 10/24/1990

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 1/15/1977

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

3500 Lenox Road Suite 1700, Atlanta, GA 30326

Mailing Address

Phone number

(404) 364-2180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/13/2025)

PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	835
AUM (Assets Under Management)	$ 396,907,109

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Charles M. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles M. Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGISTER FINANCIAL ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

THE ROBINSON-HUMPHREY COMPANY, LLC

CIBC WORLD MARKETS CORP.

FIRST UNION CAPITAL MARKETS CORP.

MARSHALL & CO. SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

BECKER PARIBAS INCORPORATED

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

REGISTER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1979

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 10/30/2003

PC

Date: 10/24/1990

Series 7

Date: 1/15/1977

FINRA

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGISTER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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