Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former New Mexico-based Merrill Lynch broker/adviser Marcus Parker was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parker (CRD# 1031962).
Marcus Parker has spent 35 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Santa Fe, New Mexico (2008-2017). Previous registrations include in Santa Fe, New Mexico (2001-2008); Salomon Smith Barney in New York, New York (1996-2001); Painewebber in Weehawken, New Jersey (1992-1996); Prudential Securities in New York, New York (1989-1992); Thomson McKinnon Securities in New York, New York (1985-1989); and Dean Witter Reynolds (1982-1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 30, 1982; SIE (Securities Industry Essentials Examination), which he obtained on December 12, 2017; and Series 7 (General Securities Representative Examination), which he obtained on July 17, 1982. He is currently not registered with any state or firm.
According to his BrokerCheck report, he was recently sanctioned by FINRA and has received one denied customer complaint.