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Stephen E. Nichols
SPC
East Lansing, MI 48823
Some features on this profile are disabled
CRD#: 2456067
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Professional summary
Stephen Eric Nichols is a registered financial advisor currently at SPC located in East Lansing, Michigan.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, 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. CENTENNIAL ASSOCIATES, INC. DBA THE CENTENNIAL GROUP & Edge Insurance Group - OUTSIDE INSURANCE. SELLING AND SERVICING GROUP LIFE, HEALTH, LTC and DI THROUGH VARIOUS CARRIERS. EFFECTIVE DATE - 01/29/2013. 2. dba - G3 Strategic Advisors, East Lansing, MI - offering advisory services through SPC. Start date: 1/26/21, approx. 160 hrs/mo all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Eric Nichols'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
January 26, 2021 - Present
SPC
Office #1: 2900 West Road Suite 300, East Lansing, MI 48823RIA
CRD#: 110692
East Lansing, MI
Past
November 12, 2015 - August 2, 2016
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
OWOSSO, MI
Past
October 27, 2015 - August 2, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
OWOSSO, MI
Past
February 14, 2013 - March 13, 2013
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
LANSING, MI
Past
January 29, 2013 - March 13, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
LANSING, MI
Past
October 6, 2010 - October 29, 2015
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
LANSING, MI
Past
November 12, 2001 - October 29, 2015
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
LANSING, MI
Past
February 26, 1999 - September 28, 2001
CENTENNIAL FINANCIAL SERVICES, INC.
BD
CRD#: 15819
LANSING, MI
Past
March 18, 1994 - February 19, 1999
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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.Highlighted states indicate IAR registrations
IAR
Michigan(1/27/2021)
IAR
Texas(1/28/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
SPC
CRD#: 110692East Lansing, MI 48823TRUST BUT VERIFY
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