Parker Brickley Fired from UBS Financial Services
Parker Brickley (CRD #: 6334260), a former broker, was fired from his firm, according to his BrokerCheck record, accessed on May 28, 2022. Read on if you have questions about Parker Brickley’s conduct as a broker.
Discharge from UBS Financial Services
On February 18, 2022, UBS Financial Services fired Parker Brickley after a review allegedly determined he failed to disclose to the firm a financial arrangement he had entered into with a third party which compensated him for providing aggregated research reports outside the scope of his employment as a broker.
Parker Brickley’s detailed BrokerCheck report lists one outside business activity: serving as a committee member providing management and supervision as part of the Iron Horse Party, a charity and fundraising event for the ALS Association.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to provide written notice to their firm before engaging in business activity outside of their role as a broker. Brokers must disclose their role in the transaction and what compensation they will receive.
Parker Brickley has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He has only registered with UBS Financial Services (CRD#: 8174).
Kurta Law Can Help
If you worked with Parker Brickley and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.