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Detailed Report
Kay Lessie Parker
KAY L. PARKER, Kay L Parker, KAY LESSIE ROWE
CRD#: 5513456
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Euless, TX
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2020 - 2021 (<1 year)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2013 - 2018 (5 years)BNYLIFE SECURITIES LLC (CRD# 5167)2009 - 2010 (1 year)
Disclosure(s)
View By:
9/27/2018
Financial
Final
License(s)

State Registrations

B
Alabama 7/8/2024
B
Montana 7/8/2024
B
Alaska 7/10/2024
B
Nebraska 7/2/2024
B
Arizona 7/12/2024
B
Nevada 7/8/2024
B
Arkansas 7/5/2024
B
New Hampshire 7/3/2024
B
California 7/5/2024
B
New Jersey 7/2/2024
B
Colorado 7/3/2024
B
New Mexico 7/3/2024
B
Connecticut 7/2/2024
B
New York 7/5/2024
B
Delaware 7/3/2024
B
North Carolina 7/3/2024
B
District of Columbia 7/9/2024
B
North Dakota 7/8/2024
B
Florida 7/3/2024
B
Ohio 7/2/2024
B
Georgia 7/5/2024
B
Oklahoma 7/8/2024
B
Hawaii 7/3/2024
B
Oregon 7/7/2024
B
Idaho 7/3/2024
B
Pennsylvania 7/3/2024
B
Illinois 7/29/2024
B
Rhode Island 7/3/2024
B
Indiana 7/3/2024
B
South Carolina 7/7/2024
B
Iowa 7/3/2024
B
South Dakota 7/10/2024
B
Kansas 7/3/2024
B
Tennessee 7/3/2024
B
Kentucky 7/8/2024
B
Texas 7/3/2024
B
Louisiana 7/31/2024
IA
Texas 7/3/2024
B
Maine 7/3/2024
B
Utah 7/3/2024
B
Maryland 7/11/2024
B
Vermont 7/3/2024
B
Massachusetts 7/23/2024
B
Virginia 7/3/2024
B
Michigan 7/5/2024
B
Washington 7/3/2024
B
Minnesota 7/3/2024
B
West Virginia 7/11/2024
B
Mississippi 7/3/2024
B
Wisconsin 7/3/2024
B
Missouri 7/3/2024
B
Wyoming 7/9/2024

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
Euless, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 7/3/2024
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Euless, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 7/2/2024
Previous Registration(s)
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IA
 09/15/2022 - 02/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BETHESDA, MD
B
 09/10/2022 - 02/01/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BETHESDA, MD
B
 09/08/2020 - 03/26/2021 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SILVER SPRING, MD
B
 02/26/2013 - 09/26/2018 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) BETHESDA, MD
B
 07/30/2009 - 10/15/2010 NYLIFE SECURITIES LLC (CRD#:5167) SOUTHLAKE, TX
IA
 07/28/2008 - 03/19/2009 AXA ADVISORS, LLC (CRD#:6627) FORT WORTH, TX
B
 07/28/2008 - 03/19/2009 AXA ADVISORS, LLC (CRD#:6627) FORT WORTH, TX
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.