Nicholas Parker has been an investment adviser representative at Seaborn Financial since October 2021, and is not listed among the firm’s executive officers or direct owners.
Seaborn Financial, LLC is a firm with $151M under management, 76 clients and 3 advisers in one office, as of its September 2026 filing.
Nicholas Parker’s longest registration is the current one, 5 years at Seaborn Financial since 2021. Before joining Seaborn Financial in 2021, Nicholas Parker was registered through Vanguard Advisers, Inc.
- Seaborn Financial, LLCCurrent– present · 5 yearsRichland, WA · Adviser representative · Firm CRD 159073
- Vanguard Advisers, Inc.– · 2 yearsScottsdale, AZ · Adviser representative · Firm CRD 106715
Investment adviser representative registrations
Nicholas Parker is registered as an investment adviser representative in 2 states. The first approvals date from November 2021; the most recent is Washington, in January 2025.
- TexasSince 30 November 2021
- WashingtonSince 28 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 July 2018 |
| Series 7 | General Securities Representative Examination | 18 July 2018 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Edward Parker
- CRD
- 6956088
- Firm
- Seaborn Financial · CRD 159073
- Office
- Richland, WA
- Registration
- Investment adviser registration
- In the industry since
- June 2019
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Parker work?
Nicholas Parker is an investment adviser representative registered through Seaborn Financial, LLC since October 2021, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Parker a financial advisor?
Yes. Nicholas Parker has a current investment-adviser registration in Texas and Washington, through Seaborn Financial since October 2021.
How many years of experience does Nicholas Parker have?
Nicholas Parker has 7 years in the financial industry, since June 2019, across 2 adviser firms.
What exams has Nicholas Parker passed?
Nicholas Parker has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2018. FINRA credited Nicholas Parker with the SIE, which began in October 2018.
Where did Nicholas Parker work before Seaborn Financial?
Before Seaborn Financial, Nicholas Parker was registered through Vanguard Advisers, Inc., August 2018 to October 2020.
Where is Nicholas Parker based?
Nicholas Parker’s registered office is in Richland, WA.
Is Nicholas Parker registered with FINRA?
No. Nicholas Parker has no current broker registration.
How can I verify Nicholas Parker’s record?
Search CRD 6956088 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Parker’s full registration record.