Simon C. Obarto

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CRD#: 1639799

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Simon Charles Obarto JR, who also goes by Simon C Obarto Jr, was a registered financial advisor .

Simon is a previously registered financial advisor and started their career in finance in 1990. Simon had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simon C Obarto Jr

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 17, 2011 - June 26, 2012

SPC

RIA

CRD#: 110692

TROY, MI

Past

July 21, 2011 - June 26, 2012

SIGMA FINANCIAL CORPORATION

CRD#: 14303

TROY, MI

Past

May 6, 2002 - April 15, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TROY, MI

Past

April 15, 2002 - April 15, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TROY, MI

Past

August 15, 2000 - April 10, 2002

EQUITAS AMERICA, LLC

CRD#: 39806

FARMINGTON HILLS, MI

Past

August 21, 1998 - August 17, 2000

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 19, 1998 - July 9, 1998

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

November 4, 1996 - January 7, 1998

HAAS FINANCIAL PRODUCTS, INC.

CRD#: 24181

SOUTHFIELD, MI

Past

January 25, 1990 - June 14, 1995

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/1998

General Securities Principal Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/20/2025)

SPC FORM ADV BROCHURE (3/20/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Simon C. Obarto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

EQUITAS AMERICA, LLC

WALNUT STREET SECURITIES, INC.

SII INVESTMENTS, INC.

HAAS FINANCIAL PRODUCTS, INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2001

Series 63

Date: 4/5/1989

Series 7

Date: 1/20/1990

Series 24

Date: 12/30/1998

Current Firm

SPC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPC

TRUST BUT VERIFY

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