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Laurence Edward Pierron Iii

CRD# 1465942·Registered 1986 - 2025
Previously Registered: Being a previously registered professional could mean that Laurence is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Laurence Edward Pierron III, who also goes by Chip Pierron, Laurence E Pierron, Laurence Edward Pierron, Laurence Pierron, Lawrence Edward Pierron, was a registered financial advisor. Laurence was a previously registered financial professional and started their career in finance 1986 - 2025. Laurence had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chip Pierron, Laurence E Pierron, Laurence Edward Pierron, Laurence Pierron, Lawrence Edward Pierron

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

SPC·CRD# 110692
RIA
Plano, TX
February 2, 2018 - December 31, 2025
SIGMA FINANCIAL CORPORATION·CRD# 14303
BD
Plano, TX
January 25, 2018 - December 31, 2025
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Plano, TX
January 6, 2011 - January 26, 2018
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Plano, TX
January 6, 2011 - January 26, 2018
HILLTOP SECURITIES INC.·CRD# 6220
RIA
Plano, TX
January 5, 2009 - February 3, 2011
HILLTOP SECURITIES INC.·CRD# 6220
BD
Plano, TX
January 5, 2009 - February 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Mckinney, TX
December 16, 2003 - January 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Mckinney, TX
December 16, 2003 - January 8, 2009
SELECT ADVISORY SERVICES, LLC·CRD# 122048
RIA
Houston, TX
May 22, 2003 - December 17, 2003
FISERV INVESTOR SERVICES, INC.·CRD# 34637
BD
Houston, TX
February 14, 2002 - December 17, 2003
TRADESTAR INVESTMENTS,INC.·CRD# 14565
BD
Houston, TX
January 18, 1993 - December 17, 2003
G. R. PHELPS & CO., INC.·CRD# 173
BD
January 20, 1992 - December 31, 1992
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 20, 1986 - January 20, 1992

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Current Firm

SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (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).

Contact Information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103

Phone Number

(734) 663-1611

# of Employees

471

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPC FORM ADV BROCHURE (5/7/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,433

AUM (Assets Under Management)

$6,102,465,817

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. DBA-UPSTREAM INVESTMENT PARTNERS 2. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES.

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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 - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (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.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 15 — Foreign Currency Options Examination

Passed Jul 2007

Series 31 — Futures Managed Funds Examination

Passed Sep 2004About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Mar 1986About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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