Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
SPC ( CRD # 110692/SEC#:801-20404 )
PARKLAND SECURITIES, LLC, SPC, SIGMA PLANNING CORPORATION, SIGMA PLANNING CORP
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/11/1984
AlaskaCancelled2/13/2002
ArizonaTerminated2/14/2002
CaliforniaCancelled1/17/2002
ColoradoCancelled2/14/2002
DelawareTerminated2/14/2002
HawaiiTerminated3/19/2002
MontanaTerminated2/12/2002
New HampshireTerminated2/14/2002
New MexicoTerminated2/14/2002
New YorkCancelled1/17/2002
Rhode IslandTerminated3/7/2002
TennesseeTerminated2/14/2002
UtahTerminated1/17/2002
WisconsinTerminated1/30/2002
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.

JURISDICTIONEFFECTIVE DATE
Alabama5/8/2001
Alaska3/30/2001
Arizona4/6/1999
Arkansas12/21/2001
California11/16/1998
Colorado3/28/2001
Connecticut1/17/2002
Delaware4/25/2002
District of Columbia1/18/2002
Florida10/11/1995
Georgia3/28/2001
Hawaii4/25/2002
Idaho1/17/2002
Illinois2/5/1996
Indiana12/19/2001
Iowa12/24/2001
Kansas5/25/2001
Kentucky4/25/2002
Louisiana1/23/2002
Maine4/25/2002
Maryland4/25/2002
Massachusetts12/19/2001
Michigan3/23/2000
Minnesota1/24/2002
Mississippi12/12/2002
Missouri3/8/1999
Montana12/19/2001
Nebraska5/9/2001
Nevada12/19/2001
New Hampshire1/18/2002
New Jersey1/17/2002
New Mexico2/15/2002
New York6/7/2001
North Carolina6/2/2003
North Dakota4/25/2002
Ohio4/12/2001
Oklahoma4/16/2002
Oregon1/22/2002
Pennsylvania6/13/2000
Puerto Rico1/17/2002
Rhode Island4/18/2000
South Carolina4/24/2002
South Dakota12/20/2001
Tennessee12/20/2001
Texas1/2/1997
Utah12/20/2001
Vermont4/25/2002
Virgin Islands6/30/2005
Virginia5/25/2001
Washington12/19/2001
West Virginia1/22/2002
Wisconsin4/25/2002
Wyoming7/7/2017
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.