Individual Firm
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HAROLD BOWLER PARKER JR
CRD#: 854199
IA
STRATEGY ASSET MANAGERS L.L.C.CRD#: 109939 790 E. COLORADO BLVD.
STE 200
Pasadena, CA 91101
STE 200
Pasadena, CA 91101
0
Disclosures
30
Years of Experience
View By:
State Registrations
IA
California 5/23/2019
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Registered with this firm since 5/23/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/23/2016 - 01/02/2020 | PASADENA, CA | |
IA | 08/29/1994 - 06/01/2016 | PASADENA, CA | |
IA | 07/26/2007 - 12/31/2009 | LOS ANGELES, CA |
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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.
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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.