JF
Jon M. Fletcher
SPC
Cedar Park, TX 78613
Some features on this profile are disabled
CRD#: 2246824
JF
Professional summary
Jon Michael Fletcher, AIF® is a registered financial advisor currently at SPC located in Cedar Park, Texas and SIGMA FINANCIAL CORPORATION located in Cedar Park, Texas.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jon has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 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. Owner of DBA - Prime Wealth Strategies, LLC, a financial services firm based in Austin, TX. This is a DBA for my brokerage and advisory practice. Products and services include: 401(K) Retirement Plans and IRAs, 529 Qualified Tuition Plans, Annuities, Mutual Funds, CDs, US Treasuries Securities, Group Retirement and Savings Plans, Simplified Employee Pension Plans, Qualified Retirement Plans, Other Retirement Savings Plans designed specifically for Employee Groups, Life Insurance, LTC, Disability and Critical Illness, Health Insurance Group Health Benefits. Start date: 8/23/2017, Approx. 10 hrs/mo for the administration of PWS and 40 hrs/wk for advisory. Operating Mgr Profit Sharing. INV REL: Y Do not raise capital 2. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. 3. WEST AUSTIN CHAMBER OF COMMERCE. 2-3 HOURS PER WEEK 4. Prime Wealth Properties, LLC, Austin, TX - 50% Owner and Managing Member. Own office condo property that houses my practice. Will be subleasing office space and collecting rent from tenants. Start date: 8/8/23, approx. 4 hrs/mo, majority during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Jon Michael Fletcher'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 23, 2017 - Present
SPC
Office #1: 921 W. New Hope Dr. Suite 102, Cedar Park, TX 78613RIA
CRD#: 110692
Cedar Park, TX
Current
August 23, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 921 W. New Hope Dr. Suite 102, Cedar Park, TX 78613BD
CRD#: 14303
Cedar Park, TX
Past
August 30, 2013 - August 23, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
LAKEWAY, TX
Past
August 30, 2013 - August 23, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
LAKEWAY, TX
Past
February 27, 2009 - September 13, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
AUSTIN, TX
Past
January 2, 2009 - September 4, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AUSTIN, TX
Past
January 2, 2009 - September 4, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AUSTIN, TX
Past
May 2, 2003 - January 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
May 2, 2003 - January 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
November 2, 1999 - May 27, 2003
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
AUSTIN, TX
Past
July 27, 1993 - May 21, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
June 22, 1992 - July 1, 1993
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Arkansas(1/2/2024)
RR
California(8/20/2018)
RR
Colorado(3/26/2024)
RR
Illinois(2/14/2024)
RR
Louisiana(6/27/2024)
RR
Texas(8/23/2017)
IAR
Texas(8/23/2017)
RR
Washington(11/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
