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Robert Parker

Raymond James & Associates, INC.
42 Years of Experience
Scottsdale, AZ
2 DisclosuresBroker
View SEC Summary
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Robert Parker is a registered investment advisor at Raymond James & Associates, INC., based in Scottsdale, AZ, with 42 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8501 N. Scottsdale Road, Suite 250, Scottsdale, AZ, 85253

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2001
Denied
Regulatory
December 1988
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert is an officer (Secretary) of Blimpie of New Mexico (DBA Carlton Media Group) since 2012, but dedicates no time to this business. This activity is not investment-related.

Employment History
Current Registrations
Raymond James & Associates, INC.
June 2012 - Present · 14 yrs 4 mos
Raymond James & Associates, INC.Broker
June 2012 - Present · 14 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2006 - June 2012 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2006 - June 2012 · 5 yrs 7 mos
Citigroup Global Markets INC.Broker
July 1993 - November 2006 · 13 yrs 4 mos
Lehman Brothers INC.Broker
January 1993 - July 1993 · 6 mos
Kidder, Peabody & CO. IncorporatedBroker
March 1990 - December 1992 · 2 yrs 9 mos
Rl Kotrozo, INC.Broker
February 1984 - March 1990 · 6 yrs 1 mo
Plenge Thomas & Nofer IncorporatedBroker
October 1983 - February 1984 · 4 mos
State Registrations29 states
ARAZCACODCFLGAHIILKSKYMEMIMNMOMSMTNCNJNYOHOKORSDTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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