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JAMES RALPH PARKER
JAMES R. PARKER
CRD#: 4132857
IA
B
MORGAN STANLEYCRD#: 149777 2000 Meridian Boulevard
Suite 290
Franklin, TN 37067
Suite 290
Franklin, TN 37067
0
Disclosures
25
Years of Experience
View By:
State Registrations
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Alabama 1/6/2016
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New Jersey 2/5/2020
B
Arizona 2/5/2020
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New York 4/22/2016
B
California 3/9/2012
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North Carolina 3/9/2012
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Colorado 3/9/2012
B
Ohio 3/19/2012
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District of Columbia 2/5/2020
B
Oklahoma 5/9/2014
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Florida 3/9/2012
B
Pennsylvania 5/22/2014
B
Georgia 8/26/2019
B
South Carolina 3/21/2012
B
Illinois 3/9/2012
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Tennessee 3/9/2012
B
Indiana 9/7/2017
IA
Tennessee 3/9/2012
B
Kansas 6/3/2019
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Texas 3/9/2012
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Kentucky 4/22/2016
IA
Texas 3/9/2012
B
Louisiana 6/3/2019
B
Virginia 9/24/2014
B
Mississippi 5/19/2021
B
Washington 3/9/2012
B
Missouri 8/8/2019
SRO Registrations
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IA
Registered with this firm since 3/9/2012
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Registered with this firm since 3/9/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/22/2003 - 03/13/2012 | FRANKLIN, TN | |
B | 09/22/2003 - 03/13/2012 | FRANKLIN, TN | |
IA | 09/19/2002 - 10/02/2003 | FRANKLIN, TN | |
B | 08/14/2000 - 10/02/2003 | WEEHAWKEN, NJ | |
B | 02/21/2000 - 08/14/2000 | NEW YORK, NY |
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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.