Frances Parent has been an investment adviser representative at Adirondack Financial Services since December 2022, and is not listed among the firm’s executive officers or direct owners.
Adirondack Financial Services Corp is an Utica, NY firm with $462M under management, 649 clients and 9 advisers in one office, as of its May 2026 filing.
Frances Parent’s longest registration was 4 years at Asset & Financial Planning, LTD (2009–2014). Before joining Adirondack Financial Services in 2022, Frances Parent was registered through National Asset Management, Inc. and Asset & Financial Planning, LTD.
- – present · 3 yearsUtica, NY · Adviser representative · Firm CRD 126155
- National Asset Management, Inc.– · 1 yearGlen Falls, NY · Adviser representative · Firm CRD 115927
- Asset & Financial Planning, LTD– · 4 yearsGlen Falls, NY · Adviser representative · Firm CRD 110709
Investment adviser representative registrations
Frances Parent is registered as an investment adviser representative in New York, since December 2022.
- New YorkSince 5 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 13 December 2001 |
| Series 7 | General Securities Representative Examination | 8 October 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 November 1991 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 November 1991 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Frances J Parent
- CRD
- 2191132
- Firm
- Adirondack Financial Services · CRD 126155
- Office
- 185 GENESEE STREET, SUITE 210, Utica, NY 13501
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Frances Parent work?
Frances Parent is an investment adviser representative registered through Adirondack Financial Services Corp since December 2022, and is not listed among the firm’s executive officers or direct owners.
Is Frances Parent a financial advisor?
Yes. Frances Parent has a current investment-adviser registration in New York, through Adirondack Financial Services since December 2022.
How many years of experience does Frances Parent have?
Frances Parent has 34 years in the financial industry, since January 1992, across 3 adviser firms.
What exams has Frances Parent passed?
Frances Parent has passed 4 licensing exams: the Series 63, Series 6, Series 7 and Series 24. The earliest, the Series 63, was passed in November 1991. FINRA credited Frances Parent with the SIE, which began in October 2018.
Where did Frances Parent work before Adirondack Financial Services?
Before Adirondack Financial Services, Frances Parent was registered through National Asset Management, Inc., May 2014 to December 2015; Asset & Financial Planning, LTD, August 2009 to May 2014.
Where is Frances Parent based?
Frances Parent’s registered office is in Utica, NY.
Is Frances Parent registered with FINRA?
Yes. Frances Parent has a current broker registration, under CRD 2191132.
Source: FINRA BrokerCheck
How can I verify Frances Parent’s record?
Search CRD 2191132 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Frances Parent’s full registration record.