CN
Curtis L. Neises
SPC
Howard, SD 57349
Some features on this profile are disabled
CRD#: 2435523
CN
Professional summary
Curtis Leo Neises is a registered financial advisor currently at SPC located in Howard, South Dakota and PARKLAND SECURITIES, LLC located in Howard, South Dakota.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Curtis has worked at 4 firms and has passed the Series 65, Series 63, SIE 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. DBA - Miner Insurance & Financial Services, Inc. (formerly Miner Insurance Agency, Inc.), 124 S Main, Howard, SD. Owner and Agent of the agency. Property casualty business. Licensed to sell P/C, life insurance with other carriers. Start date: 8/90. Name updated 5/5/25, approx. 60-80 hrs/mo. INV REL: Y 2. CLERK FOR GREEN VALLEY TOWNSHIP, LOCAL TOWNSHIP WHERE I RESIDE. BOARD MEMBERS COMPENSATED $200 ANNUALLY FOR THEIR SERVICES. I AM RESPONSIBLE FOR TAKING MINUTES FROM OUR MEETINGS BUT HAVE NO CHECK WRITING AUTHORITY. 3. Board member and acting Secretary for Howard Industries Corporation. Duties include attending monthly meetings and taking minutes for the meetings. Start date: 5/20/25, approx. 2-4 hrs/mo, less than 5% during mkt hrs. I am also a shareholder (inheriting the shares from a family member). I do not have access to any check writing for funds for the organization. INV REL: N 4. Board member and Secretary for the Howard Development Corporation. This is a non-profit corporation that works in conjunction with Howard Industries Corp for promoting community growth in housing and industry. Duties include attending monthly meetings and taking minutes for the meetings. Start date: 5/20/25, approx. 2-4 hrs/mo, less than 5% during mkt hrs. INV REL: N 5. CHURCH COUNCIL MEMBER FOR ST. AGATHA PARISH, NONCOMPENSATED. I ACT AS A "SOUNDING BOARD", FROM PARISHIONERS, ALONG WITH OTHER COUNCIL MEMBERS, TO OUR PRIEST, WHO HAS COMPLETE AND FINAL SAY OF THE FINANCIAL DECISIONS OF OUR CHURCH. COUNCIL MEMBERS CAN ONLY MAKE RECOMMENDATIONS TO PRIEST, NO FINAL DECISIONS CAN BE MADE BY ANY COUNCIL MEMBER. 6. MY WIFE AND I OWN FARMLAND IN MINER COUNTY, SD (WHERE ARE RESIDENCE IS LOCATED). WE RENT OUR FARM LAND TO A LOCAL FARM PRODUCER, ANNUAL RENTAL INCOME IS APPROXIMATELY $2,600. WE ALSO HAVE A PORTION OF OUR FARM GROUND IN CRP WITH THE ANNUAL INCOME APPROXIMATELY $6,500. 7. Notary public - Miner County and State of South Dakota. Provide notary services on an as-needed basis. Start date: 6/23/20, less than 1 hr/mo. Commission ends 6/23/2026. 8. Committee member - Pastoral Planning Committee - Pastorate #10), Howard, SD. Committee helps with the direction of the newly formed Pastorate. Start date: 11/6/23, approx. 1-2 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Leo Neises'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
February 5, 2019 - Present
SPC
Office #1: 123 S. Main St., Howard, SD 57349RIA
CRD#: 110692
Howard, SD
Current
May 6, 2009 - Present
PARKLAND SECURITIES, LLC
Office #1: 123 S. Main St., Howard, SD 57349BD
CRD#: 115368
Howard, SD
Past
June 25, 2002 - May 7, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
HOWARD, SD
Past
April 4, 2001 - May 22, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 11, 1994 - April 4, 2001
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
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.
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
Florida(11/25/2024)
RR
Iowa(7/25/2024)
RR
Kansas(11/25/2024)
RR
Minnesota(4/17/2024)
RR
Missouri(1/28/2015)
RR
South Carolina(2/9/2011)
RR
South Dakota(5/6/2009)
IAR
South Dakota(2/5/2019)
RR
Texas(5/6/2009)
IAR
Texas(11/14/2022)
RR
Virginia(5/6/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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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Company Information
SPC
CRD#: 110692Howard, SD 57349TRUST BUT VERIFY
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