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JAMES LOUIS PARKER
CRD#: 2331267
IA
B
SPCCRD#: 110692 9030 11 Mile Road
Mecosta, MI 49332
Mecosta, MI 49332
SIGMA FINANCIAL CORPORATIONCRD#: 14303 9030 11 Mile Rd
Mecosta, MI 49332
Mecosta, MI 49332
0
Disclosures
31
Years of Experience
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State Registrations
B
Arizona 4/17/2015
IA
Michigan 4/20/2015
B
California 4/17/2015
B
Montana 4/17/2015
B
Michigan 4/17/2015
B
Ohio 2/1/2019
SRO Registrations
B
B
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IA
B
Registered with this firm since 4/17/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/05/2009 - 04/23/2015 | LIVONIA, MI | |
B | 10/05/2009 - 04/23/2015 | LIVONIA, MI | |
IA | 05/18/2007 - 10/05/2009 | LIVONIA, MI | |
B | 01/02/2004 - 10/05/2009 | LIVONIA, MI | |
B | 05/15/2000 - 01/02/2004 | PURCHASE, NY | |
B | 05/19/1993 - 05/31/2000 | DETROIT, MI |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.