LP
Laurence E. Pierron
SPC
Plano, TX 75024
Some features on this profile are disabled
CRD#: 1465942
LP
Professional summary
Laurence Edward Pierron III, who also goes by Chip Pierron, Laurence E Pierron, Laurence Edward Pierron, Laurence Pierron, Lawrence Edward Pierron, is a registered financial advisor currently at SPC located in Plano, Texas and SIGMA FINANCIAL CORPORATION located in Plano, Texas.
Laurence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Laurence has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chip Pierron | Laurence E Pierron | Laurence Edward Pierron | Laurence Pierron | Lawrence Edward Pierron
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. DBA-UPSTREAM INVESTMENT PARTNERS
2. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Laurence Edward Pierron III'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
February 2, 2018 - Present
SPC
Office #1: 5465 Legacy Dr., Suite 650, Plano, TX 75024RIA
CRD#: 110692
Plano, TX
Current
January 25, 2018 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 5465 Legacy Dr. Suite 650, Plano, TX 75024BD
CRD#: 14303
Plano, TX
Past
January 6, 2011 - January 26, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLANO, TX
Past
January 6, 2011 - January 26, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANO, TX
Past
January 5, 2009 - February 3, 2011
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
PLANO, TX
Past
January 5, 2009 - February 3, 2011
HILLTOP SECURITIES INC.
BD
CRD#: 6220
PLANO, TX
Past
December 16, 2003 - January 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MCKINNEY, TX
Past
December 16, 2003 - January 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MCKINNEY, TX
Past
May 22, 2003 - December 17, 2003
SELECT ADVISORY SERVICES, LLC
RIA
CRD#: 122048
HOUSTON, TX
Past
February 14, 2002 - December 17, 2003
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
January 18, 1993 - December 17, 2003
TRADESTAR INVESTMENTS,INC.
BD
CRD#: 14565
HOUSTON, TX
Past
January 20, 1992 - December 31, 1992
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
March 20, 1986 - January 20, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Arkansas(1/25/2018)
RR
Colorado(2/26/2020)
RR
Ohio(1/25/2018)
RR
Pennsylvania(1/25/2018)
RR
Texas(1/25/2018)
IAR
Texas(2/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 7/3/2007
Foreign Currency Options ExaminationGeneral 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.
Company Information
SPC
CRD#: 110692Plano, TX 75024TRUST BUT VERIFY
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