Lawrence L. Epple

SPC

Okemos, MI 48864

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CRD#: 1350675

Professional summary

Lawrence Lee Epple, CFP® is a registered financial advisor currently at SPC located in Okemos, Michigan and SIGMA FINANCIAL CORPORATION located in Okemos, Michigan.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Lawrence has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.

1. FAMILY LIFE FINANCIAL SERVICE, 4121 OKEMOS ROAD #12, OKEMOS MI 48864; CATEGORY: INSURANCE; INVESTMENT-RELATED: YES; TITLE: AGENT; DUTIES: OFFERS ACCIDENT/HEALTH INSURANCE, DISABILITY INCOME INSURANCE, FIXED/INDEXED ANNUITIES, TRADITIONAL LIFE INAURANCE, AND LONG TERM CARE INSURANCE.; START DATE: 6/1/1986; HOURS PER MONTH: 30; HOURS PER MONTH DURING TRADING HOURS: 30 2. FAMILY LIFE FINANCIAL SERVICES THIRD PARTY ADMINISTRATOR, 4121 OKEMOS ROAD SUITE 12, OKEMOS, MI 48864; CATEGORY: THIRD PARTY ADMINISTRATOR; INVESTMENT-RELATED: NO; TITLE: THIRD PARTY ADMINISTRATOR DUTIES: TPA SERVICE COLLECTS PAYROLL DEDUCTIONS FROM FEDERAL GOVERNMENT WORKERS AND APPLIES THEM TO FAMILY LIFE FINANCIAL SERVICES ACCOUNTS. START DATE: 10/1/1985; HOURS PER MONTH: 20; HOURS PER MONTH DURING TRADING HOURS: 20 3. FAMILY LIFE FINANCIAL SERVICES; CATEGORY: RETAIL, SERVICE INDUSTRY; INVESTMENT-RELATED: NO; TITLE: EMPLOYEE; DUTIES: SPEAK TO FEDERAL EMPLOYEES ABOUT THEIR GOVERNMENTAL BENEFITS. START DATE:3/1/1983; HOURS PER MONTH: 80; HOURS PER MONTH DURING TRADING HOURS: 80 4. D&L NURSERY, 5411 N WILLIAMSTON ROAD, WILLIAMSTON, MI 48895; CATEGORY: RETAIL; INVESTMENT-RELATED: NO; TITLE: OWNER; DUTIES: OWNS AND ASSISTS IN NURSERY. START DATE: 7/1/1998; HOURS PER MONTH: 15; HOURS PER MONTH DURING TRADING HOURS: 15 5. LAWRENCE EPPLE, 4121 OKEMOS ROAD STE 12, OKEMOS, MI 48864; CATEGORY: REAL ESTATE MANAGEMENT; INVESTMENT-RELATED: YES; TITLE: OWNER; DUTIES: OWNS AND MANAGES REAL ESTATE PROPERTY. START DATE: 3/1/1983; HOURS PER MONTH: 20; HOURS PER MONTH DURING TRADING HOURS: 20 6. WELD, LLC, 4121 OKEMOS ROAD, SUITE 12, OKEMOS, MI 48864; CATEGORY: REAL ESTATE RENTAL; INVESTMENT-RELATED: YES; TITLE: OWNER; DUTIES: ENTITY USED TO HOLD REAL ESTATE PROPERTIES. START DATE: 3/2013; HOURS PER MONTH: 4; HOURS PER MONTH DURING TRADING HOURS: 0 7. LAWRENCE EPPLE 4121 OKEMOS ROAD, SUITE 12, OKEMOS, MI 48864; CATEGORY: NOTARY; INVESTMENT-RELATED: NO; TITLE: NOTARY; DUTIES: NOTARIZE SIGNATURES; START DATE: 6/2001; HOURS PER MONTH: 1; HOURS PER MONTH DURING TRADING HOURS: 1 8. LLE Financial Services, Inc. aka LLE LLC, 4121 Okemos Rd, Ste 12, Okemos, MI 48864; Category: Non-Variable Insurance; Title: Owner; Entity uses to sell fixed insurance products; Start date: 5/9/1991, Approx. 8 hrs/mo, none during mkt hrs. INV REL: Y

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Lee Epple's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1992

Experience

Current

August 13, 2021 - Present

SPC

Office #1: 4121 Okemos Rd. Suite 12, Okemos, MI 48864

RIA

CRD#: 110692

Okemos, MI

Current

August 13, 2021 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 4121 Okemos Rd. Suite 12, Okemos, MI 48864

CRD#: 14303

Okemos, MI

Past

October 20, 2010 - August 17, 2021

OSAIC FS, INC.

RIA

CRD#: 3870

OKEMOS, MI

Past

March 20, 1985 - August 17, 2021

OSAIC FS, INC.

CRD#: 3870

OKEMOS, MI

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/12/2021)

Alaska
(8/24/2021)

Arizona
(8/13/2021)

Arkansas
(8/13/2021)

California
(8/13/2021)

Colorado
(8/19/2021)

District of Columbia
(1/25/2022)

Florida
(8/13/2021)

Georgia
(8/18/2021)

Illinois
(8/20/2021)

Indiana
(8/13/2021)

Iowa
(8/13/2021)

Kentucky
(8/13/2021)

Maryland
(8/13/2021)

Michigan
(8/13/2021)

IAR

Michigan
(8/13/2021)

Minnesota
(8/24/2021)

Missouri
(8/13/2021)

Nevada
(8/13/2021)

New Jersey
(8/13/2021)

New York
(10/22/2024)

North Carolina
(8/13/2021)

Ohio
(8/13/2021)

Oregon
(8/13/2021)

Pennsylvania
(8/13/2021)

South Carolina
(8/13/2021)

Tennessee
(8/13/2021)

Texas
(8/13/2021)

IAR

Texas
(8/13/2021)

Washington
(8/13/2021)

Wisconsin
(8/13/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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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Lawrence L. Epple

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Lee Epple's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

OSAIC FS, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 3/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 6

Date: 3/19/1985

Series 24

Date: 5/12/1999

FINRA

Nasdaq Stock Market

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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