EP
Edward F. Putnoky
SPC
Columbus, OH 43220
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CRD#: 1311795
EP
Professional summary
Edward Frank Putnoky JR is a registered financial advisor currently at SPC located in Columbus, Ohio and SIGMA FINANCIAL CORPORATION located in Columbus, Ohio.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Edward has worked at 13 firms and has passed the SIE 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.
MONARCH FINANCIAL GROUP, 1525 BETHEL ROAD, SUITE 200, COLUMBUS, OHIO 43220:
SOLE PROPRIETORSHIP, NATURE OF BUS: INSURANCE AGENCY, ITLE: OWNER, DUTIES: INSURANCE SALES, PERCENT OF TIME: 100%, COMPENSATION: COMMISSION.
Life and Health Agent working with different term life insurance companies and health insurance companies. Start date: 1/20/17, approx. 3 hrs/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Frank Putnoky JR'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
February 2, 2016 - Present
SPC
Office #1: 1525 Bethel Rd Suite 200, Columbus, OH 43220RIA
CRD#: 110692
Columbus, OH
Current
February 2, 2016 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1525 Bethel Rd. Suite 200, Columbus, OH 43220BD
CRD#: 14303
Columbus, OH
Past
January 30, 2015 - February 3, 2016
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
September 12, 2014 - February 3, 2016
STONEX SECURITIES INC.
BD
CRD#: 18456
COLUMBUS, OH
Past
November 15, 2000 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
COLUMBUS, OH
Past
July 29, 1996 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
COLUMBUS, OH
Past
August 1, 1995 - August 1, 1996
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
April 6, 1992 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
October 25, 1991 - December 31, 1991
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
March 3, 1989 - March 5, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
September 7, 1988 - December 5, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 7, 1988 - December 5, 1988
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 12, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
September 12, 1985 - March 17, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Florida(4/17/2017)
RR
Ohio(2/2/2016)
IAR
Ohio(2/2/2016)
Exams
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
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.
