Kevin M. Volz

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CRD#: 2311469

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Michael Volz was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 21, 2017 - July 8, 2021

SPC

RIA

CRD#: 110692

Denver, CO

Past

February 15, 2017 - July 8, 2021

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Denver, CO

Past

August 24, 2011 - February 15, 2017

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288

DENVER, CO

Past

August 18, 2011 - February 15, 2017

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

RIA

CRD#: 135288

DENVER, CO

Past

March 2, 2009 - August 23, 2011

FORTA FINANCIAL GROUP, INC.

RIA

CRD#: 28784

GREENWOOD VILLAGE, CO

Past

March 2, 2009 - August 23, 2011

FORTA FINANCIAL GROUP, INC.

CRD#: 28784

GREENWOOD VILLAGE, CO

Past

December 11, 2007 - March 4, 2009

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

DENVER, CO

Past

October 13, 2006 - March 4, 2009

WEDBUSH SECURITIES INC.

CRD#: 877

DENVER, CO

Past

September 1, 2004 - October 18, 2006

B. C. ZIEGLER AND COMPANY

CRD#: 61

GREENWOOD VILLAGE, CO

Past

August 13, 2001 - September 3, 2004

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

July 13, 1999 - March 16, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 21, 1997 - July 7, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 14, 1993 - October 15, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 21, 1993 - March 18, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/12/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 12/6/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/19/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2012

General Securities Principal Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/20/2025)

SPC FORM ADV BROCHURE (3/20/2025)

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin M. Volz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

FORTA FINANCIAL GROUP, INC.

FORTA FINANCIAL GROUP, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

B. C. ZIEGLER AND COMPANY

WEDBUSH SECURITIES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2007

Series 63

Date: 1/21/1993

SIE

Date: 10/1/2018

Series 31

Date: 6/12/2008

Series 3

Date: 12/6/1996

Series 7

Date: 1/19/1993

Series 24

Date: 10/25/2012

Current Firm

SPC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPC

TRUST BUT VERIFY

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