Mark A. Maas

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CRD#: 1306836

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.

Mark Allan Maas, AIF® was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 11 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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. DBA - ANCHOR FINANCIAL STRATEGIES, LLC: PROVIDE FINANCIAL SERVICES AS WELL AS SELL VARIOUS LINES OF INSURANCE WITH VARIOUS INSURANCE COMPANIES. 2. RENTAL PROPERTY LOCATED IN FINDLAY, OH - OWNER SINCE 2003. RENTAL PROPERTY, OVERSEE PROPERTY MANAGEMENT, 4 HRS/MO 3. RENTAL PROPERTY LOCATED IN VAN BUREN, OH. CO-OWN WITH SPOUSE THROUGH REVOCABLE LIVING TRUST. START DATE: 8/1/15, APPROX. 3 HRS/MO, NONE DURING TRADING HOURS. 4. Lay preacher for various Church of Christ churches in the Findlay, OH area. Start date: 1/15/17, approx. 2 hrs/mo on weekends. 5. Committee member of community group studying and considering private property land zoning rules in our community. Start date: 12/18/23, approx. 4-6 hrs/mo, none during mkt hrs. INV REL: N

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

August 22, 2011 - December 31, 2024

SPC

RIA

CRD#: 110692

FINDLAY, OH

Past

August 19, 2011 - December 31, 2024

SIGMA FINANCIAL CORPORATION

CRD#: 14303

FINDLAY, OH

Past

September 15, 2009 - August 19, 2011

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

FINDLAY, OH

Past

September 14, 2009 - August 19, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

FINDLAY, OH

Past

March 12, 2009 - September 15, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

CINCINNATI, OH

Past

February 27, 2009 - September 15, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

CINCINNATI, OH

Past

January 30, 2003 - February 23, 2009

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

FINDLAY, OH

Past

April 9, 2001 - February 23, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

FINDLAY, OH

Past

June 12, 2000 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

June 6, 1994 - June 26, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

June 3, 1993 - June 6, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

October 18, 1991 - June 10, 1993

AMERICAN CLASSIC SECURITIES, INC.

CRD#: 25399

PONTE VEDRA, FL

Past

February 4, 1985 - September 20, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Series 63

Date: 11/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/11/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/17/1994

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark A. Maas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

DONAHUE SECURITIES, INC.

WMA SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERICAN CLASSIC SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1994

SIE

Date: 10/1/2018

Series 6

Date: 12/11/1984

Series 26

Date: 10/17/1994

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

Contact information

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