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Investment Adviser Firm Summary

SIGMA PLANNING CORPORATION (CRD# 110692 / SEC# 801-20404)
Alternate Names: PARKLAND SECURITIES, LLC , SIGMA FINANCIAL CORPORATION , SIGMA PLANNING CORP , SIGMA PLANNING CORPORATION , SPC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/11/1984
Alaska Cancelled 02/13/2002
Arizona Terminated 02/14/2002
California Cancelled 01/17/2002
Colorado Cancelled 02/14/2002
Delaware Terminated 02/14/2002
Hawaii Terminated 03/19/2002
Montana Terminated 02/12/2002
New Hampshire Terminated 02/14/2002
New Mexico Terminated 02/14/2002
New York Cancelled 01/17/2002
Rhode Island Terminated 03/07/2002
Tennessee Terminated 02/14/2002
Utah Terminated 01/17/2002
Wisconsin Terminated 01/30/2002

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/08/2001
Alaska 03/30/2001
Arizona 04/06/1999
Arkansas 12/21/2001
California 11/16/1998
Colorado 03/28/2001
Connecticut 01/17/2002
Delaware 04/25/2002
District of Columbia 01/18/2002
Florida 10/11/1995
Georgia 03/28/2001
Hawaii 04/25/2002
Idaho 01/17/2002
Illinois 02/05/1996
Indiana 12/19/2001
Iowa 12/24/2001
Kansas 05/25/2001
Kentucky 04/25/2002
Louisiana 01/23/2002
Maine 04/25/2002
Maryland 04/25/2002
Massachusetts 12/19/2001
Michigan 03/23/2000
Minnesota 01/24/2002
Mississippi 12/12/2002
Missouri 03/08/1999
Montana 12/19/2001
Nebraska 05/09/2001
Nevada 12/19/2001
New Hampshire 01/18/2002
New Jersey 01/17/2002
New Mexico 02/15/2002
New York 06/07/2001
North Carolina 06/02/2003
North Dakota 04/25/2002
Ohio 04/12/2001
Oklahoma 04/16/2002
Oregon 01/22/2002
Pennsylvania 06/13/2000
Puerto Rico 01/17/2002
Rhode Island 04/18/2000
South Carolina 04/24/2002
South Dakota 12/20/2001
Tennessee 12/20/2001
Texas 01/02/1997
Utah 12/20/2001
Vermont 04/25/2002
Virgin Islands 06/30/2005
Virginia 05/25/2001
Washington 12/19/2001
West Virginia 01/22/2002
Wisconsin 04/25/2002
Wyoming 07/07/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser