DI
Dennis R. Isabell
SPC
TOLEDO, OH 43606
Some features on this profile are disabled
CRD#: 1312867
DI
Professional summary
Dennis Robert Isabell is a registered financial advisor currently at SPC located in Toledo, Ohio and SIGMA FINANCIAL CORPORATION located in Toledo, Ohio.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 4 firms and has passed the Series 63, 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.
DENNIS R. ISABELL & ASSOCIATES AGENCY INC.; SALE OF VARIOUS LINES OF INSURANCE AND FIXED ANNUITES THROUGH VARIOUS INSURANCE COMPANIES. ISABELL FINANCIAL SERVICES: SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. SALVATION ARMY OF NW OHIO; SERVES ON ADVISORY BOARD. Receive income from office space rental in building located at 2346 N Reynolds Road. Building co-owned with my wife.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Robert Isabell'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
April 7, 2006 - Present
SPC
Office #1: 2346 N. Reynolds Rd, Toledo, OH 43606RIA
CRD#: 110692
TOLEDO, OH
Current
April 5, 2006 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 2346 North Reynolds Road, Toledo, OH 43615BD
CRD#: 14303
Toledo, OH
Past
December 7, 1999 - April 11, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
TOLEDO, OH
Past
January 26, 1990 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
January 26, 1990 - April 11, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
May 28, 1987 - August 4, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
May 15, 1986 - August 4, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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(1/3/2022)
RR
Florida(5/13/2020)
RR
Iowa(9/12/2023)
RR
Massachusetts(9/29/2021)
RR
Michigan(4/5/2006)
RR
North Carolina(12/12/2016)
RR
Ohio(4/5/2006)
IAR
Ohio(4/7/2006)
Exams
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
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.
