Timothy Caso

SPC

Allentown, PA

Some features on this profile are disabled

CRD#: 1849638

Professional summary

Timothy Caso, who also goes by Tim Caso, Timothy Paul Caso, is a registered financial advisor currently at SPC located in Allentown, Pennsylvania and SIGMA FINANCIAL CORPORATION located in Lansdale, Pennsylvania.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Timothy has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Caso | Timothy Paul Caso

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) - RIA

Click below to view Timothy Caso's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 26, 2022 - Present

SPC

RIA

CRD#: 110692

Allentown, PA

Current

September 26, 2022 - Present

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Lansdale, PA

Past

May 14, 2020 - September 17, 2021

EQUITY SERVICES, INC.

RIA

CRD#: 265

MEDIA, PA

Past

May 14, 2020 - September 17, 2021

EQUITY SERVICES, INC.

CRD#: 265

MEDIA, PA

Past

February 22, 2018 - March 16, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HORSHAM, PA

Past

January 26, 2018 - March 16, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

HORSHAM, PA

Past

October 13, 2016 - September 19, 2017

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

Marlton, NJ

Past

October 12, 2016 - September 19, 2017

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Marlton, NJ

Past

February 24, 2014 - December 22, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CONSHOHOCKEN, PA

Past

February 24, 2014 - December 22, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CONSHOHOCKEN, PA

Past

May 23, 2013 - February 12, 2014

BCG SECURITIES, INC.

RIA

CRD#: 70

HADDONFIELD, NJ

Past

May 23, 2013 - February 12, 2014

BCG SECURITIES, INC.

CRD#: 70

HADDONFIELD, NJ

Past

March 13, 2012 - May 20, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LANSDALE, PA

Past

December 2, 2011 - May 20, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LANSDALE, PA

Past

August 6, 2010 - November 28, 2011

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

QUAKERTOWN, PA

Past

April 30, 2010 - November 28, 2011

NATIONWIDE SECURITIES, LLC

CRD#: 11173

QUAKERTOWN, PA

Past

August 24, 2007 - January 23, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SOMERSET, NJ

Past

June 26, 2007 - January 23, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SOMERSET, NJ

Past

October 16, 2006 - May 29, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

WARRINGTON, PA

Past

August 24, 2004 - August 25, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

August 21, 2002 - June 22, 2004

AMERICAN FINANCIAL ASSOCIATES, INC.

CRD#: 29049

EASTON, PA

Past

April 25, 2002 - June 19, 2002

OBSIDIAN FINANCIAL GROUP, LLC

CRD#: 104255

WOODBURY, NY

Past

June 22, 1998 - January 3, 2002

AMERICAN FINANCIAL ASSOCIATES, INC.

CRD#: 29049

EASTON, PA

Past

November 4, 1994 - April 16, 1998

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

March 17, 1994 - June 8, 1994

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 20, 1989 - January 27, 1990

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Past

June 23, 1988 - October 2, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Pennsylvania
(9/26/2022)

IAR

Pennsylvania
(9/26/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/2/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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

Timothy Caso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Caso's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BCG SECURITIES, INC.

BCG SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

ALLSTATE FINANCIAL SERVICES, LLC

AMERICAN FINANCIAL ASSOCIATES, INC.

OBSIDIAN FINANCIAL GROUP, LLC

AMERICAN FINANCIAL ASSOCIATES, INC.

AFD, INC.

MONY SECURITIES CORPORATION

INVESTMENT ADVISORS & CONSULTANTS, INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2007

Series 63

Date: 3/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2007

Series 6

Date: 3/2/1994

FINRA

Nasdaq Stock Market

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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