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James Crocker

Investment adviser representative at Parallel Advisors

Investment adviser representativeWalnut Creek, CASEC record checked 14 October 2026

20
Years in the industry
0
Years at the firm
7
Adviser firms
1
State registrations

IAPD record retrieved 14 October 2026SEC record

James Crocker is an investment adviser representative at Parallel Advisors, LLC, a San Francisco investment adviser managing $10.31B. James Crocker has been registered through Parallel Advisors since 15 June 2026, has 20 years in the industry across 7 firms and has passed the Series 7, Series 63, Series 65 and SIE.

Role at Parallel Advisors

Registration
Investment adviser representative, through Parallel Advisors, LLC since 15 June 2026
Officer or owner
James Crocker is not listed among Parallel Advisors’ executive officers or direct owners.

The firm

Parallel Advisors, LLC
San Francisco, CA

Form ADV filed 29 June 2026

$10.31B AUM4,240 clients61 advisers38 offices

Career on record

James Crocker has been registered through Parallel Advisors since June 2026, and before that through Apeiron, Cascadia Advisory Services, Cetera Advisors, Pacific West Financial Consultants, Pacific West Securities and Sigma Financial Corporation.

Firms and exams, newest first
  1. Parallel Advisors, LLCCurrent
    – present · under a year
    Walnut Creek, CA · Adviser representative · Firm CRD 140800
  2. Apeiron
    – present · 5 years
    Walnut Creek, CA · Adviser representative · Firm CRD 289273
  3. Passed SIE · 2018
  4. Cascadia Advisory Services, LLC
    – · 4 years
    Danville, CA · Adviser representative · Firm CRD 290231
  5. Cetera Advisors LLC
    – · 7 years
    Danville, CA · Adviser representative · Firm CRD 10299
  6. Pacific West Financial Consultants Inc
    – · 4 years
    Renton, WA · Adviser representative · Firm CRD 108728
  7. Passed Series 65 · 2008
  8. Pacific West Securities, Inc.
    – · 6 years
    Danville, CA · Adviser representative and broker · Firm CRD 6390
  9. Passed Series 7 and Series 63 · 2006
  10. Sigma Financial Corporation
    – · under a year
    Ann Arbor, MI · Adviser representative and broker · Firm CRD 14303

Registrations and exams

James Crocker is registered as an investment adviser representative in California and has passed 4 qualifying exams.

California3 December 2021
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6523 June 2008
Name
Uniform Investment Adviser Law Examination
Series 6327 April 2006
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 April 2006
Name
General Securities Representative Examination

Adviser record

Full name
James Richard Crocker
CRD
5127548
Firm
Parallel Advisors, LLC
Registered in
California
Office
1655 N Main St, Ste 290, Walnut Creek, CA 94595

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Crocker work?

James Crocker is an investment adviser representative registered through Parallel Advisors, LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.

Source: IAPD individual record, checked 14 October 2026

Is James Crocker a financial advisor?

Yes. James Crocker is registered as an investment adviser representative in California, through Parallel Advisors since June 2026, as of 14 October 2026.

Source: IAPD individual record, checked 14 October 2026

How many years of experience does James Crocker have?

James Crocker has worked in the financial industry for 20 years as of 14 October 2026, counted from 17 April 2006, across 7 adviser firms.

Source: IAPD individual record, checked 14 October 2026

What exams has James Crocker passed?

James Crocker has passed 4 licensing exams: the Series 7, Series 63, Series 65 and SIE. The earliest, the Series 7, was passed in April 2006.

Source: IAPD individual record, checked 14 October 2026

Where did James Crocker work before Parallel Advisors?

Before Parallel Advisors, James Crocker was registered through Apeiron, December 2021 to present; Cascadia Advisory Services, LLC, June 2018 to December 2021; Cetera Advisors LLC, February 2012 to July 2019; Pacific West Financial Consultants Inc, July 2008 to February 2012; Pacific West Securities, Inc., May 2006 to February 2012; Sigma Financial Corporation, April 2006 to May 2006.

Source: IAPD individual record, checked 14 October 2026

Where is James Crocker based?

James Crocker’s registered office is in Walnut Creek, CA.

Source: IAPD individual record, checked 14 October 2026

Leadership at Parallel Advisors

Sources

  1. IAPD individual record, CRD 5127548. Employment history, registrations and examinations.
  2. Form ADV Part 1A, Schedules A and B of Parallel Advisors, LLC, filed 29 June 2026. Executive officers and direct owners; this person is not among them.

Retrieved 14 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Crocker or Parallel Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.