DG
David N. Goldberg
SPC
FARMINGTON HILLS, MI 48331
Some features on this profile are disabled
CRD#: 1348490
DG
Professional summary
David Neil Goldberg, AIF®, CFP® is a registered financial advisor currently at SPC located in Farmington Hills, Michigan and SIGMA FINANCIAL CORPORATION located in Farmington Hills, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Insurance Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
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.
SELLING INSURANCE PRODUCTS WITH VARIOUS INSURANCE PRODUCTS. PREPARES TAXES; SELF EMPLOYED. AGGPT, LLC; BILL PAYING ENTITY FOR OFFICE. Co-trustee, along with brother, on the Milton E. Goldberg Family Trust. Start date: 1/1/90, approx. 1 hr/mo. Notary Public, Oakland County, MI. Provide notary services on an as-needed basis. Commission ends 6/20/27
CRS (Client Relationship Summary) - RIA
Click below to view David Neil Goldberg'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®
CFP®
Start date: 1990
Experience
Current
January 20, 2006 - Present
SPC
Office #1: 37811 W. 12 Mile Rd Suite 101, Farmington Hills, MI 48331RIA
CRD#: 110692
FARMINGTON HILLS, MI
Current
March 8, 1999 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 37811 W. 12 Mile Rd Suite 101, Farmington Hills, MI 48331BD
CRD#: 14303
Farmington Hills, MI
Past
October 31, 1997 - March 19, 1999
APEX CAPITAL, L.L.C.
BD
CRD#: 40803
HARPER WOODS, MI
Past
July 27, 1990 - November 6, 1997
EAST - WEST CAPITAL CORPORATION
BD
CRD#: 16348
Past
June 1, 1989 - July 23, 1990
HORIZONS INTERNATIONAL CORPORATION
BD
CRD#: 20530
Past
May 23, 1989 - June 6, 1989
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
May 23, 1985 - May 23, 1989
PENNSYLVANIA SECURITIES COMPANY
BD
CRD#: 7667
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(1/2/2018)
RR
California(3/15/1999)
RR
Florida(3/8/1999)
RR
Georgia(3/20/2008)
RR
Illinois(4/5/2024)
RR
Indiana(7/6/2015)
RR
Kansas(8/22/2013)
RR
Michigan(3/8/1999)
IAR
Michigan(3/8/2010)
RR
New Jersey(2/17/2022)
RR
New York(8/26/2015)
RR
North Carolina(6/25/2025)
RR
Ohio(11/13/2023)
IAR
Texas(1/23/2015)
RR
Texas(8/9/2021)
Exams
State Security Law 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.
