Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Parker? Claim Your ProfileParker James Smith is a registered representative of Wells Fargo Clearing Services, LLC and has been in the industry since 2001. Parker is a Series 7, 10, 9, 63 and 65 licensed professional who serves clients in Arkansas, Illinois, Indiana, Kentucky, Louisiana, Massachusetts, Mississippi, North Carolina, Tennessee, Texas and Utah. Parker's areas of specialization include Portfolio Management for Individuals, Portfolio Management for Businesses, Pension Consulting, Financial Planning and Selection of Other Advisors. Parker's previous experience includes roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated and A. G. Edwards & Sons, Inc. Parker James Smith is also a registered investment advisor with Wells Fargo Advisors LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
01/07/2009 - Present
Wells Fargo Clearing Services, LLC (MORRISTOWN TN)
TN
11/17/2006 - 01/08/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MORRISTOWN TN)
TN
01/12/2001 - 11/29/2006
A. G. EDWARDS & SONS, INC. (MORRISTOWN TN)
IA
Issued 03/08/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/21/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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