FB
Frank P. Barrella
SPC
Jupiter, FL
Some features on this profile are disabled
CRD#: 1936084
FB
Professional summary
Frank Paul Barrella, AIF® is a registered financial advisor currently at SPC located in Jupiter, Florida and SIGMA FINANCIAL CORPORATION located in Jupiter, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Frank has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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. As an independently licensed insurance agent, I am appointed with various companies. 2. Franklin Capital Management; Since 01/04/2007; 208 Moccasin Trail N., Jupiter, FL, 33458; President/Owner; Investment and insurance planning; 200 hours spent on activity on activity per month, 160 spent on activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Paul Barrella'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
August 5, 2016 - Present
SPC
RIA
CRD#: 110692
Jupiter, FL
Current
August 5, 2016 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Jupiter, FL
Past
January 3, 2011 - August 30, 2016
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
JUPITER, FL
Past
November 15, 2010 - August 5, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
JUPITER, FL
Past
February 12, 2009 - November 16, 2010
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
PALM BEACH GARDENS, FL
Past
December 26, 2008 - November 16, 2010
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
PALM BEACH GARDENS, FL
Past
October 20, 2005 - November 26, 2008
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BOCA RATON, FL
Past
August 24, 2004 - November 26, 2008
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOCA RATON, FL
Past
August 20, 2003 - August 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
PALM BEACH GARDENS, FL
Past
August 2, 2000 - August 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
July 17, 1989 - August 20, 1992
PFS INVESTMENTS INC.
BD
CRD#: 10111
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(1/26/2022)
RR
Connecticut(8/5/2016)
RR
Florida(8/5/2016)
IAR
Florida(8/11/2016)
RR
Georgia(6/8/2023)
RR
New York(8/5/2016)
RR
North Carolina(8/5/2016)
RR
Tennessee(8/5/2016)
IAR
Texas(4/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
