CC
Carrie L. Cole
SPC
Wixom, MI 48393
Some features on this profile are disabled
CRD#: 1619384
CC
Professional summary
Carrie Lynn Cole, CFP®, who also goes by Carrie Lynn Cole-szabelski, is a registered financial advisor currently at SPC located in Wixom, Michigan and SIGMA FINANCIAL CORPORATION located in Wixom, Michigan.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Carrie has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Lynn Cole-Szabelski
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 - Trademark Investments, Wixom, MI. Offering financial services. Start date: 6/5/23, approx. 120 hrs/mo, all during mkt hrs. INV REL: Y 2. SALE OF VARIOUS LINES OF INSURNCE THROUGH VARIOUS INSURANCE COMPANIES. 3. I AM A NOTARY AND DO NOT CHARGE FOR SERVICES. 4. Owner - Smart Divorce Plan LLC - divorce advisor to help understand assets/budgets related to divorce and dividing of pensions/retirement plans. Start date: 7/14/20, approx. 5 hrs/mo. 5. Owner - Easy QDRO, LLC. Prepare and review QDROs and pension valuations. Start date: 2/6/25, approx. 10 hrs/mo with 10% during mkt hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Lynn Cole'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: 1990
Experience
Current
May 1, 2012 - Present
SPC
Office #1: 29560 Beck Road #101, Wixom, MI 48393RIA
CRD#: 110692
Wixom, MI
Current
April 26, 2012 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 29560 Ste 101 Beck Rd, Wixom, MI 48393BD
CRD#: 14303
Wixom, MI
Past
August 10, 2010 - May 1, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
LIVONIA, MI
Past
July 1, 2010 - May 1, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
LIVONIA, MI
Past
April 15, 2010 - July 7, 2010
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
June 15, 2001 - July 7, 2010
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
LIVONIA, MI
Past
December 9, 1998 - December 24, 1998
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
January 22, 1996 - June 18, 2001
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
June 8, 1993 - January 24, 1996
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
September 24, 1991 - December 3, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
July 2, 1990 - October 14, 1991
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
November 21, 1989 - July 17, 1990
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
March 3, 1989 - June 6, 1989
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Past
January 23, 1987 - December 31, 1988
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
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
Florida(4/30/2012)
RR
Kentucky(2/18/2020)
RR
Michigan(4/26/2012)
IAR
Michigan(5/1/2012)
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
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
