PP
Paul W. Pietro
SPC
WORCESTER, MA 01603
Some features on this profile are disabled
CRD#: 1071929
PP
Professional summary
Paul William Pietro is a registered financial advisor currently at SPC located in Worcester, Massachusetts and PARKLAND SECURITIES, LLC located in Worcester, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. INDEPENDENT INSURANCE AGENT - SELL LIFE, HEALTH, DENTAL AND DISABILITY THROUGH VARIOUS INSURANCE COMPANIES. 2. Director - Bears on Board, Inc., Worcester, MA. Non-profit founded in 2002. Provides teddy bears to policy officers, firefighters, rescue personnel and social workers to give to children in times of crisis. 3. The Hilb Group - sale of employee benefits and insurance. Start date: 9/1/17. Approx. 40 hrs/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Paul William Pietro'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®
NoneExperience
Current
March 13, 2002 - Present
SPC
Office #1: 93 Stafford Street, Worcester, MA 01603RIA
CRD#: 110692
WORCESTER, MA
Current
February 9, 2002 - Present
PARKLAND SECURITIES, LLC
Office #1: 93 Stafford Street, Worcester, MA 01603BD
CRD#: 115368
Worcester, MA
Past
December 13, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 29, 1994 - March 2, 1995
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
November 24, 1993 - December 13, 1996
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
April 6, 1988 - December 7, 1993
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
July 13, 1987 - September 16, 1989
COMPASS SECURITIES CORPORATION
BD
CRD#: 16168
Past
August 30, 1985 - July 16, 1987
HARBOR SECURITIES CORPORATION
BD
CRD#: 15421
Past
January 3, 1985 - September 11, 1985
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
January 5, 1984 - December 27, 1984
LEHMAN BROTHERS DISTRIBUTORS INC.
BD
CRD#: 8441
Past
June 19, 1983 - July 9, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Past
February 22, 1983 - January 1, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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(8/1/2017)
RR
Connecticut(7/31/2019)
RR
Massachusetts(2/9/2002)
IAR
Massachusetts(3/13/2002)
RR
New Hampshire(2/10/2023)
RR
Rhode Island(2/9/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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.
Company Information
SPC
CRD#: 110692Worcester, MA 01603TRUST BUT VERIFY
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