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Detailed Report
JAMES THOMAS PARKS
JAMES T PARKS
CRD#: 2211516
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 148 Prospect St, 2nd Fl
Ridgewood, NJ 07450
LPL FINANCIAL LLCCRD#: 6413 148 PROSPECT ST., 2ND FLOOR
RIDGEWOOD, NJ 07450
Registration History
19952000200520102015202020252 FIRMS1992 - 1995 (2 years)IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2022 - Present (2 years)IALPL FINANCIAL LLC (CRD# 6413)2002 - Present (22 years)BLPL FINANCIAL LLC (CRD# 6413)2000 - Present (24 years)BFSC SECURITIES CORPORATION (CRD# 7461)1995 - 2000 (4 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1995 - 1995 (<1 year)IAPARKS FINANCIAL MANAGEMENT (CRD# 129021)2003 - 2006 (3 years)
License(s)

State Registrations

B
Arizona 5/11/2007
B
New Hampshire 5/26/2000
B
California 8/29/2018
B
New Jersey 5/26/2000
B
Colorado 1/7/2015
IA
New Jersey 5/22/2002
B
Connecticut 5/26/2000
B
New York 5/26/2000
B
Delaware 3/6/2020
B
North Carolina 1/14/2003
B
Florida 5/26/2000
B
Ohio 12/20/2017
B
Georgia 2/6/2017
B
Oregon 2/2/2023
B
Hawaii 8/3/2021
B
Pennsylvania 10/25/2000
B
Illinois 2/11/2025
B
South Carolina 2/27/2002
B
Indiana 6/5/2000
B
Tennessee 1/22/2025
B
Kentucky 10/18/2024
B
Texas 1/26/2022
B
Maine 3/7/2016
IA
Texas 2/1/2022
B
Maryland 1/14/2019
B
Virginia 5/26/2000
B
Massachusetts 5/26/2000
B
Washington 5/25/2022
B
Michigan 10/4/2017
B
West Virginia 1/9/2006
B
Missouri 7/20/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
148 Prospect St, 2nd Fl, Ridgewood, NJ 07450
Registered with this firm since 9/15/2022
IA
LPL FINANCIAL LLC (CRD#:6413)
148 PROSPECT ST., 2ND FLOOR, RIDGEWOOD, NJ 07450
Registered with this firm since 5/22/2002
B
LPL FINANCIAL LLC (CRD#:6413)
148 PROSPECT ST., 2ND FLOOR, RIDGEWOOD, NJ 07450
Registered with this firm since 5/26/2000
Previous Registration(s)
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IA
 11/13/2003 - 11/30/2006 PARKS FINANCIAL MANAGEMENT (CRD#:129021) NORTH HALEDON, NJ
B
 10/30/1995 - 05/26/2000 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 01/11/1995 - 07/31/1995 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 03/25/1992 - 01/27/1995 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 03/25/1992 - 01/27/1995 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.