TT
Thomas W. Taylor
SPC
ADRIAN, MI 49221
Some features on this profile are disabled
CRD#: 1591096
TT
Professional summary
Thomas Wendall Taylor, AIF® is a registered financial advisor currently at SPC located in Adrian, Michigan and SIGMA FINANCIAL CORPORATION located in Adrian, Michigan.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
THE TAYLOR AGENCY: SALE OF FIXED INSURANCE THROUGH VARIOUS INSURANCE COMPANIES. OWNS THE BUIDING THAT THE TAYLOR AGENCY IS IN. HE ALSO IS THE OWNER OF THE TAYLOR AGENCY. OFFERING TAX PREPARATION & E-FILING TO OUR MEMBERS. I AM THE CHAIRMAN OF THE CHURCH COUNCIL FOR ST. STEPHEN LUTHERAN CHURCH. Co-Owner, with spouse, of TDEK Properties, LLC, Adrian, MI. Owns commercial property and receives rent from tenant. Start date: 11/8/10, approx. 5 hrs/mo., none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wendall Taylor'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
April 19, 2007 - Present
SPC
Office #1: 203 N. Broad St., Adrian, MI 49221RIA
CRD#: 110692
ADRIAN, MI
Current
April 21, 1992 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 203 N. Broad Street, Adrian, MI 49221BD
CRD#: 14303
Adrian, MI
Past
October 2, 1989 - December 31, 1990
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
June 6, 1989 - October 2, 1989
CADARET, GRANT & CO., INC.
BD
CRD#: 16404
Past
August 14, 1987 - October 11, 1988
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(1/11/2017)
RR
California(5/26/2021)
RR
Colorado(1/11/2017)
RR
Florida(5/29/2013)
RR
Indiana(1/5/2012)
RR
Iowa(11/2/2018)
RR
Michigan(4/21/1992)
IAR
Michigan(1/22/2015)
RR
Minnesota(9/10/2018)
RR
Mississippi(1/11/2017)
RR
North Carolina(4/5/2013)
RR
Ohio(8/14/1995)
RR
Pennsylvania(1/26/2021)
RR
Texas(8/22/2024)
IAR
Texas(8/23/2024)
RR
Virginia(7/23/2019)
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
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