RS
Rickie S. Sherline
SPC
Southfield, MI 48076
Some features on this profile are disabled
CRD#: 1035244
RS
Professional summary
Rickie Steven Sherline, AIF®, who also goes by Rick Steven Sherlin, Rick Steven Sherline, Rick Sherline, is a registered financial advisor currently at SPC located in Southfield, Michigan and SIGMA FINANCIAL CORPORATION located in Southfield, Michigan.
Rickie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Rickie has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Steven Sherlin | Rick Steven Sherline | Rick Sherline
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
DIVERSIFIED BENEFITS: SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. President of the Pisgah/Zeiger B'nai B'rith lodge, which is a Jewish charitable organization that provides services for the community such as college scholarships, food baskets for the needy as well as other programs including sports leagues. Start date: 1/1/15, approx. 10 hrs/mo, none during market hours. Co-trustee of my sister and brother-in-law's living trusts. Start date: 1/1/05, less than 1 hr/year. Diversified Financial Group - DBA used for joint business with Michael Tymkew, fellow Sigma Rep. Start date: 1/1/22. INV REL: Y Joint Rep for a 401k plan held with Nationwide. Start date: 10/1/24, approx. 24 hrs/mo, 75% during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Rickie Steven Sherline's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 3, 2008 - Present
SPC
Office #1: One Town Square Suite 700, Southfield, MI 48076RIA
CRD#: 110692
Southfield, MI
Current
February 21, 1997 - Present
SIGMA FINANCIAL CORPORATION
Office #1: One Town Square Suite 700, Southfield, MI 48076BD
CRD#: 14303
Southfield, MI
Past
April 20, 1983 - February 28, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 1, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/12/2024)
RR
California(1/5/2017)
RR
Colorado(5/3/2022)
RR
Illinois(4/1/2013)
RR
Iowa(4/5/2013)
RR
Louisiana(1/27/2023)
RR
Massachusetts(1/24/2019)
RR
Michigan(2/21/1997)
IAR
Michigan(1/26/2010)
RR
Minnesota(7/1/2014)
RR
Pennsylvania(5/8/2015)
RR
Tennessee(4/5/2013)
RR
Virginia(2/18/2020)
RR
Wisconsin(4/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
