DD
Dale J. Driggs
SPC
West Lafayette, IN 47906
Some features on this profile are disabled
CRD#: 1926129
DD
Professional summary
Dale John Driggs, AIF® is a registered financial advisor currently at SPC located in West Lafayette, Indiana and SIGMA FINANCIAL CORPORATION located in West Lafayette, Indiana.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Dale has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 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.
1- 08/2023 / Real Estate Rental / INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Dale John Driggs'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
October 6, 2023 - Present
SPC
Office #1: 1330 Win Hentschel Blvd Suite 216, West Lafayette, IN 47906RIA
CRD#: 110692
West Lafayette, IN
Current
October 6, 2023 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1330 Win Hentschel Blvd Ste 216, West Lafayette, IN 47906BD
CRD#: 14303
West Lafayette, IN
Past
September 25, 2023 - October 13, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST LAFAYETTE, IN
Past
September 25, 2023 - October 13, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST LAFAYETTE, IN
Past
November 7, 2013 - September 28, 2023
SPC
RIA
CRD#: 110692
West Lafayette, IN
Past
November 7, 2013 - September 28, 2023
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
WEST LAFAYETTE, IN
Past
March 5, 2010 - November 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
INDIANAPOLIS, IN
Past
October 5, 2009 - November 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
INDIANAPOLIS, IN
Past
December 19, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
INDIANAPOLIS, IN
Past
April 12, 2006 - December 22, 2008
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
July 8, 2005 - December 22, 2008
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
LAFAYETTE, IN
Past
April 3, 2002 - July 11, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
LAFAYETTE, IN
Past
September 7, 2001 - July 11, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 9, 1999 - March 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 1, 1994 - July 16, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 9, 1992 - December 7, 1994
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 27, 1991 - January 20, 1992
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
March 21, 1989 - August 12, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
California(10/6/2023)
RR
Colorado(10/17/2023)
RR
Florida(10/6/2023)
RR
Illinois(10/6/2023)
RR
Indiana(10/17/2023)
IAR
Indiana(10/17/2023)
RR
Nebraska(9/13/2024)
RR
North Carolina(10/6/2023)
RR
Ohio(10/6/2023)
RR
Tennessee(10/6/2023)
RR
Texas(4/22/2025)
RR
Virginia(10/6/2023)
RR
Wisconsin(10/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692West Lafayette, IN 47906TRUST BUT VERIFY
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