DP
Dianne Pritchard
SPC
EASTCHESTOR, NY 10709
Some features on this profile are disabled
CRD#: 2018844
DP
Professional summary
Dianne Pritchard is a registered financial advisor currently at SPC located in Eastchestor, New York and SIGMA FINANCIAL CORPORATION located in Eastchester, New York.
Dianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Dianne has worked at 5 firms and has passed the Series 66, SIE and Series 7 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. KPL FINANCIAL GROUP LLC: PROVIDE FINANCIAL SERVICES. 2. INDEPENDENT INSURANCE AGENT - DENTAL AND GROUP DISABILITY INCOME, LIFE / ACCIDENT / HEALTH, MEDICARE RELATED PRODUCTS. HOME ADDRESS 10 TRADING AND 2 NON TRADING HOUR SINCE 7/2007. 3. Real estate agent - Levy & Associates Realty, LLC, Mount Vernon, NY. Buying, selling and renting properties. Start date: 6/14/18, approx. 4 hrs/mo with 50% during mkt hrs. 4. Board member - serve as Member at Large for my church. No access to funds for the organization. Start date: 11/1/23, approx. 1 hr/mo, none during mkt hrs for a 3 year term. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Dianne Pritchard'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
June 19, 2014 - Present
SPC
Office #1: 475 White Plains Rd Suite 28, Eastchestor, NY 10709RIA
CRD#: 110692
EASTCHESTOR, NY
Current
June 19, 2014 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 475 White Plains Rd Suite 28, Eastchester, NY 10709BD
CRD#: 14303
Eastchester, NY
Past
June 26, 2006 - June 30, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ELMSFORD, NY
Past
August 16, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WHITE PLAINS, NY
Past
August 16, 2004 - June 30, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ELMSFORD, NY
Past
May 18, 2004 - August 16, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Connecticut(6/19/2014)
RR
Delaware(2/23/2021)
RR
Florida(6/19/2014)
RR
Georgia(2/17/2023)
RR
Maryland(9/19/2025)
RR
New Jersey(6/19/2014)
RR
New York(6/19/2014)
IAR
New York(12/20/2021)
RR
Pennsylvania(10/2/2023)
RR
Virginia(6/19/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General 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.
