ER
Ernest J. Rowe
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CRD#: 2423195
ER
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.
Ernest James Rowe, who also goes by Jamie Rowe, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1994. Ernest had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jamie Rowe
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 - DYNAMIC FINANCIAL SERVICES LLC
POSITION: President NATURE: I sell life insurance, long term care insurance and disability income insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2001 ADDRESS: 838 Grand Avenue, Grand Junction CO 81501 DESCRIPTION: selling fixed annuity and fixed life insurance products, long term care insurance and disability insurance
***ERNEST J. ROWE REVOCABLE LIVING TRUST
POSITION: I am the trustte NATURE: The Ernest James Rowe Revocable Living Trust, is my own personal trust that I am the trustee of. I have placed my home and bank accounts, investment accounts and life insurance in this trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2007 ADDRESS: 428 Montero Street, Grand Junction CO 81507 DESCRIPTION: Managing my own personal investments and life insurance in this trust
As an independently licensed insurance agent, I am appointed with various insurance companies.
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®
NoneExperience
Past
September 3, 2020 - December 31, 2023
SPC
RIA
CRD#: 110692
Grand Junction, CO
Past
September 1, 2020 - December 31, 2023
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Grand Junction, CO
Past
October 27, 2015 - September 2, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
GRAND JUNCTION, CO
Past
October 27, 2015 - September 2, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GRAND JUNCTION, CO
Past
November 6, 2012 - November 2, 2015
INTERVEST INTERNATIONAL, INC.
RIA
CRD#: 111516
GRAND JUNCTION, CO
Past
August 6, 2009 - November 2, 2015
INTERVEST INTERNATIONAL EQUITIES CORPORATION
BD
CRD#: 20289
Grand Junction, CO
Past
July 5, 2001 - February 13, 2009
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
GRAND JUNCTION, CO
Past
August 28, 1995 - February 13, 2009
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
GRAND JUNCTION, CO
Past
January 1, 1994 - August 8, 1995
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
