RH
Richard L. High
SPC
WACO, TX 76712
Some features on this profile are disabled
CRD#: 1956655
RH
Professional summary
Richard Lance High, who also goes by Lance High, is a registered financial advisor currently at SPC located in Waco, Texas and PARKLAND SECURITIES, LLC located in Waco, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lance High
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. HIGH AND ASSOCIATES, INC.: LANCE HIGH - 100% OWNER. PROVIDES FIXED INSURANCE SERVICES. LIFE, HEALTH, FIXED ANNUITIES. APPOINTED THROUGH VARIOUS FIXED INSURANCE CARRIERS. 2. DBA - PRIVATE CLIENT GROUP, SOLE PROPRIETORSHIP FOR ADVISORY AND SECURITIES ACTIVITIES, WACO, TEXAS. 3. Board member - First National Bank of Central Texas. Serve in advisory capacity, no access to funds. Start date: 1/20/21, approx. 2 hrs/mo, all during mkt hrs. 4. Bar H Enterprises LLC, Waco, TX. Single member LLC that holds all non-homestead owned real estate property. Start date: 9/26/12, approx. 4 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lance High'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®
NoneExperience
Current
January 31, 2013 - Present
SPC
Office #1: 105 Old Hewitt Rd., Waco, TX 76712RIA
CRD#: 110692
WACO, TX
Current
January 31, 2013 - Present
PARKLAND SECURITIES, LLC
Office #1: 105 Old Hewitt Road Suite 400, Waco, TX 76712BD
CRD#: 115368
Waco, TX
Past
November 15, 2012 - February 1, 2013
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
WACO, TX
Past
December 18, 2006 - February 1, 2013
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WACO, TX
Past
March 25, 1996 - December 19, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WACO, TX
Past
September 27, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 27, 1990 - February 13, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 25, 1989 - September 18, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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(1/31/2013)
RR
Kentucky(11/30/2022)
RR
Texas(1/31/2013)
IAR
Texas(1/31/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/16/2015
Corporate Securities Limited Representative ExaminationGeneral Industry/Product 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.
