JG
James A. Galiger
SPC
Mt. Prospect, IL 60056
Some features on this profile are disabled
CRD#: 1560426
JG
Professional summary
James Allyn Galiger, CFP®, who also goes by James Galiger, is a registered financial advisor currently at SPC located in Mt. Prospect, Illinois and SIGMA FINANCIAL CORPORATION located in Mt. Prospect, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
James Galiger
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 - Touch Financial Group, Northfield, IL. Provides financial services. Start date: 4/11/23, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y 2. Sale of insurance (limited to life, Long Term Care and Disability). 3. Bartender/server - LG Events, Park Ridge, IL. Help spouse with her business. Start date: 4/16/19, approx. 4 hrs/mo, none during mkt hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view James Allyn Galiger'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®
CFP®
Start date: 2003
Experience
Current
June 2, 2006 - Present
SPC
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056RIA
CRD#: 110692
Mt. Prospect, IL
Current
June 26, 2001 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056BD
CRD#: 14303
Mt. Prospect, IL
Past
November 1, 2000 - June 19, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
December 9, 1988 - January 21, 1999
CARGILL INVESTOR SERVICES, INC.
BD
CRD#: 20745
CHICAGO, IL
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(7/10/2001)
RR
Colorado(9/8/2005)
RR
Illinois(6/26/2001)
IAR
Illinois(1/31/2007)
RR
Indiana(1/9/2023)
RR
Kentucky(2/7/2019)
RR
Michigan(1/7/2013)
RR
Wisconsin(8/27/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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.
