PP
Pete Pallone
SPC
HERBER SPRINGS, AR 72543
Some features on this profile are disabled
CRD#: 2520553
PP
Professional summary
Pete Pallone, AIF®, who also goes by Samuel Pete Pallone, is a registered financial advisor currently at SPC located in Herber Springs, Arkansas and PARKLAND SECURITIES, LLC located in Herber Springs, Arkansas.
Pete is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Pete has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Pete Pallone
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 - PALLONE FINANCIAL SERVICES, INC.: PRESIDENT 2) SALE OF LIFE, HEALTH, AND DISABILITY THROUGH VARIOUS INSURANCE COMPANIES. 3) PALLONE LAND CO., INC. - PRESIDENT/OWNER - COMMERCIAL REAL ESTATE RENTAL. 4) RECEIVES NATURAL GAS ROYALTIES 5) PALLONE CATTLE CO.,LLC - OWNER - CATTLE RANCH 6) BOARD MEMBER OF CLEBURNE COUNTY CATTLEMENS ASSOC., CLEBURNE COUNTY, AR, START DATE: 5/1/13, APPROX. 2 HRS/MO, NONE DURING TRADING HOURS. 7) TRUSTEE OF ILIT TRUSTS FOR FAMILY MEMBERS 8) Trustee of personally owned trust. 9. Limited Partner of The Rose of Sharon Ranch, LLLP, Heber Springs, AR. Administrative duties including bookkeeping and depositing checks. Start date: 12/18/1998, less than 1 hr/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Pete Pallone'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
February 14, 2000 - Present
SPC
Office #1: 1203 B West Main, Herber Springs, AR 72543RIA
CRD#: 110692
HERBER SPRINGS, AR
Current
February 9, 2002 - Present
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
HERBER SPRINGS, AR
Past
April 28, 1998 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 16, 1996 - March 25, 1998
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
September 6, 1994 - July 23, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 6, 1994 - July 23, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Alabama(1/5/2022)
RR
Arizona(8/26/2013)
IAR
Arkansas(2/14/2000)
RR
Arkansas(2/9/2002)
RR
California(5/8/2002)
RR
Colorado(3/5/2025)
RR
Florida(2/11/2002)
RR
Idaho(4/28/2025)
RR
Illinois(2/1/2007)
RR
Indiana(1/7/2004)
RR
Louisiana(6/27/2017)
RR
Mississippi(1/4/2010)
RR
Missouri(2/9/2002)
RR
Oklahoma(1/9/2006)
RR
Pennsylvania(3/29/2023)
RR
South Carolina(2/26/2019)
RR
Tennessee(7/30/2021)
RR
Texas(7/31/2008)
IAR
Texas(7/23/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692Herber Springs, AR 72543TRUST BUT VERIFY
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