BN
Bud Nicol
SPC
Indialantic, FL 32903
Some features on this profile are disabled
CRD#: 2413791
BN
Professional summary
Bud Nicol, AIF® is a registered financial advisor currently at SPC located in Indialantic, Florida and SIGMA FINANCIAL CORPORATION located in Indialantic, Florida.
Bud is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bud has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 62 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.
DBA - RETIREMENT & LIFESTYLE PLANNING LLC: SALE OF VARIOUS LINES OF INSURANCE INCLUDING FIXED ANNUITIES, HEALTH INSURANCE, TERM LIFE, WHOLE LIFE AND FIXED INDEX ANNUITIES THROUGH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Bud Nicol'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
September 12, 2012 - Present
SPC
Office #1: 201 Sixth Ave., Indialantic, FL 32903RIA
CRD#: 110692
Indialantic, FL
Current
September 12, 2012 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 201 Sixth Ave., Indialantic, FL 32903BD
CRD#: 14303
Indialantic, FL
Past
October 24, 2011 - September 26, 2012
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
INDIALANTIC, FL
Past
September 21, 2011 - September 26, 2012
STONEX SECURITIES INC.
BD
CRD#: 18456
INDIALANTIC, FL
Past
April 9, 1999 - September 21, 2011
SPC
RIA
CRD#: 110692
INDIALANTIC, FL
Past
February 26, 1999 - September 21, 2011
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
INDIALANTIC, FL
Past
February 19, 1999 - March 5, 1999
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
April 10, 1997 - February 3, 1999
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
August 23, 1996 - April 15, 1997
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
July 27, 1995 - April 1, 1996
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
May 15, 1995 - July 28, 1995
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
October 12, 1994 - April 11, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 21, 1994 - October 17, 1994
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
November 17, 1993 - March 9, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
Arizona(6/20/2023)
RR
Colorado(10/15/2012)
RR
Connecticut(2/8/2017)
RR
Florida(9/12/2012)
IAR
Florida(10/3/2012)
RR
Illinois(11/14/2022)
RR
Massachusetts(1/28/2020)
RR
Minnesota(2/22/2021)
RR
New York(9/12/2012)
RR
North Carolina(5/9/2016)
RR
Pennsylvania(6/5/2018)
RR
Texas(5/27/2014)
IAR
Texas(8/27/2018)
RR
Virginia(9/12/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/10/2016
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
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.
