James Thomas Parks

Current Employers

Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2022-09-15
TX	RA	APPROVED	2022-09-15

NJ RA
APPROVED

Since 2022-09-15
TX RA
APPROVED

Since 2022-09-15

Branch Locations

148 Prospect St, 2Nd Fl, Ridgewood, NJ 07450 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-02-01
NJ	RA	APPROVED	2002-05-22

TX RA
APPROVED

Since 2022-02-01
NJ RA
APPROVED

Since 2002-05-22

Branch Locations

148 Prospect St., 2Nd Floor, Ridgewood, NJ 07450 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Linsco Private Ledger	North Haledon	NJ	05/2000	Present
Lpl Financial Llc	Ridgewood	NJ	05/2000	Present
Private Advisor Group, Llc	Morristown	NJ	09/2022	Present

05/2000 → Present

Linsco Private Ledger

North Haledon, NJ
05/2000 → Present

Lpl Financial Llc

Ridgewood, NJ
09/2022 → Present

Private Advisor Group, Llc

Morristown, NJ

Previous Registrations

2003-11-13 → 2006-11-30

Parks Financial Management

North Haledon, NJ

Other Businesses

1. 08/17/2007 - PARKS WEALTH MANAGEMENT - PARKS WEALTH MANAGEMENT - NON-VARIABLE INSURANCE DBA 2. 12/12/2007 - NO BUSINESS NAME - INV REL - ACT IN A FIDUCIARY CAPACITY - 0% TIME SPENT - POA FOR FELICIA PARKS, SPOUSE 3. 12/11/2015 * LTCI PARTNERS * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 12/01/2015 * 3 HRS/MO; 1HR/MO DURING SECS TRDG HRS. 4. 02/18/2016 * Notary * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/16 * 1 HR/MO NOT DURING SECS TRDG HRS. 5. 7/16/2018 - PWM - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:06/18/2018 - 200 Hours Per Month/32 Hours During Trading. 6. 09/27/2022 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 09/21/2022 - 100 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 09/2022. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 3/15/2023 - Parks Wealth And PAG, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 02/28/2023 - 5 Hours Per Month/5 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-10-30
S63	Uniform Securities Agent State Law Examination	1992-05-11

S65 Uniform Investment Adviser Law Examination

1997-10-30
S63 Uniform Securities Agent State Law Examination

1992-05-11

Designations

Other Names

James T Parks

View on SEC IAPD