Gregory Rusteberg

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CRD#: 1271284

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Rusteberg, who also goes by Gregory Rusterberg, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Rusterberg

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 3, 2011 - March 18, 2016

SPC

RIA

CRD#: 110692

DEER PARK, IL

Past

November 2, 2011 - March 18, 2016

PARKLAND SECURITIES, LLC

CRD#: 115368

DEER PARK, IL

Past

January 31, 1996 - February 2, 2010

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

QUINCY, MA

Past

August 2, 1993 - January 4, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 13, 1991 - April 14, 1993

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

March 21, 1990 - September 19, 1991

AMERICAN CAPITAL MARKETING, INC.

CRD#: 6699

Past

December 24, 1986 - December 31, 1988

CONTINENTAL EQUITIES CORPORATION OF AMERICA

CRD#: 16383

Past

June 16, 1986 - October 1, 1986

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

Past

July 30, 1984 - September 11, 1985

NATIONAL EQUITY SECURITIES CORPORATION

CRD#: 14527

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/13/1986

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 7/27/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/12/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/20/2025)

SPC FORM ADV BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	26,544
AUM (Assets Under Management)	$ 5,655,661,675

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gregory Rusteberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARKLAND SECURITIES, LLC

GUARDIAN INVESTOR SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

STEPHENS

AMERICAN CAPITAL MARKETING, INC.

CONTINENTAL EQUITIES CORPORATION OF AMERICA

METLIFE INVESTORS DISTRIBUTION COMPANY

NATIONAL EQUITY SECURITIES CORPORATION

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/1997

Series 63

Date: 6/6/1984

SIE

Date: 3/18/2016

Series 7

Date: 7/9/1993

Series 6

Date: 6/13/1986

Series 22

Date: 7/27/1984

Series 26

Date: 7/12/2003

Current Firm

SPC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPC

TRUST BUT VERIFY

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