Darrell E. Fox

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CRD#: 1360248

Professional summary

Darrell Eugene Fox was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Darrell is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Darrell had worked at 6 firms, which includes SPC, SIGMA FINANCIAL CORPORATION, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC, AMERICAN EXPRESS FINANCIAL CORPORATION, IDS LIFE INSURANCE COMPANY.

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.

The advisor shows no other business activity.

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®

None

Experience

Past

September 6, 2005 - December 31, 2006

SPC

RIA

CRD#: 110692

LIMA, OH

Past

September 2, 2005 - September 2, 2009

SIGMA FINANCIAL CORPORATION

CRD#: 14303

LIMA, OH

Past

June 6, 2005 - September 1, 2005

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

LIMA, OH

Past

June 2, 2005 - September 1, 2005

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

September 19, 1999 - June 9, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LIMA, OH

Past

May 23, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 12, 1985 - June 9, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 12, 1985 - June 9, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/11/1985

Investment Company Products/Variable Contracts Representative 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.

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Darrell E. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 7

Date: 5/17/1986

Series 6

Date: 6/11/1985

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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