MA
Maureen S. Ault
SPC
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 1618589
MA
Professional summary
Maureen Stevens Ault, AIF®, CFP®, who also goes by Maureen Clare Stevens, is a registered financial advisor currently at SPC located in Costa Mesa, California and SIGMA FINANCIAL CORPORATION located in Costa Mesa, California.
Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Maureen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maureen Clare Stevens
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. MAUREEN STEVENS AULT NOTARY - NOTARY WORK / OWNER / 940 SOUTH COAST DRIVE, SUITE 255, COSTA MESA, CA 92626 / STARTED 12/2012 / .5 HOURS A MONTH / .5 HOURS DURING TRADING HOURS / NON-INVESTMENT RELATED
2. TAX PREPARER - EMPLOYEE / STARTED 1996 / PREPARE TAX RETURNS DURING MONTHS OF FEBURARY, MARCH AND HALF OF APRIL / 10 HOURS A MONTH DURING THOSE MONTHS WITH MOST BEING WEEKENDS AND EVENINGS
3. INSURANCE - VARIOUS INSURANCE SALES THROUGH VARIOUS INSURANCE COMPANIES / STARTED 2010 / 2 HOURS A MONTH / 2 HOURS DURING TRADING HOURS
4. IAR
5. DBA - Stevens and Ault Financial Services, Costa Mesa, CA. Start date: 6/14/19. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Maureen Stevens Ault'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: 2013
Experience
Current
October 31, 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
January 26, 2012 - November 2, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COSTA MESA, CA
Past
January 2, 2004 - November 2, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
COSTA MESA, CA
Past
March 4, 1994 - January 30, 2004
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
Arkansas(2/3/2022)
RR
California(10/30/2017)
IAR
California(10/31/2017)
RR
Colorado(1/23/2018)
RR
Connecticut(1/2/2019)
RR
Florida(1/2/2019)
RR
Idaho(1/3/2019)
RR
Illinois(1/7/2025)
RR
Indiana(3/27/2024)
RR
Maine(4/12/2023)
RR
Massachusetts(1/2/2019)
RR
Montana(1/11/2019)
RR
Nevada(6/13/2025)
RR
New York(3/15/2023)
RR
North Carolina(8/13/2025)
RR
Tennessee(3/15/2019)
RR
Texas(7/24/2018)
RR
Virginia(2/18/2021)
RR
Washington(4/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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.
