DS
David A. Stevens
SPC
Costa Mesa, CA 92626
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CRD#: 1553001
DS
Professional summary
David Anthony Stevens, CFP® is a registered financial advisor currently at SPC located in Costa Mesa, California and SIGMA FINANCIAL CORPORATION located in Costa Mesa, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 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. SELF EMPLOYED OWNER - CPA FIRM, 940 S COAST DR STE 255 COSTA MESA CA 92626- 823 / PREPARE TAX RETURN AND MINOR BOOKKEEPING FOR 2 CLIENTS / STARTED IN APRIL 1985 / APPROXIMATELY 100 HOURS PER YEAR AND ALL DURING TRADING HOURS / NON-INVESTMENT RELATED 2. INTELETRAVEL.COM - 209 NORTH SWINTON AVENUE DELRAY BEACH FL / INDEPENDENT CONTRACTOR / 11/30/2004 / 10 HOURS TOTAL / 0 DURING TRADING HOURS / BOOK TRAVEL / NON-INVESTMENT RELATED 3. RENTAL PROPERTY - OWNER / RENT CONDO / MAZATLAN SINALOA, MEXICO / 10 HOURS PER YEAR / 0 DURING TRADING HOURS / REAL ESTATE - RENTAL PROPERTY / NON-INVESTMENT RELATED 4. OWNER OF 100,000 SHARES OF - CERTUS FINANCIAL GROUP, LLC. PURCHASED IN OCTOBER, 2012 / A PRIVATE SECURITIES TRANSACTION / PERSONAL PURCHASE & INVESTMENT / NON-INVESTMENT RELATED 5. SALES OF LIFE INSURANCE, FIXED AND INDEXED ANNUITIES, AND LONG TERM CARE INSURANCE. 6. DBA - Stevens and Ault Financial Services, Costa Mesa, CA. Start date: 10/30/17, limited number of hrs spent of activity. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view David Anthony Stevens'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®
Experience
Current
October 30, 2017 - Present
SPC
Office #1: 940 South Coast Drive Suite 255, Costa Mesa, CA 92626RIA
CRD#: 110692
Costa Mesa, CA
Current
October 30, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 940 South Coast Drive Suite 255, Costa Mesa, CA 92626BD
CRD#: 14303
Costa Mesa, CA
Past
August 30, 2002 - January 9, 2003
THE PLANNERS NETWORK, INC.
RIA
CRD#: 108355
HUNTINGTON BEACH, CA
Past
November 30, 1999 - November 2, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COSTA MESA, CA
Past
November 22, 1999 - November 2, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
COSTA MESA, CA
Past
October 23, 1998 - November 24, 1999
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
September 23, 1998 - October 8, 1998
SECURE PLANNING, LLC
BD
CRD#: 42179
PORTSMOUTH, NH
Past
August 28, 1986 - September 24, 1998
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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(10/30/2017)
RR
California(10/30/2017)
IAR
California(10/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/16/1990
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
