Pete Pallone
AIF®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pete Pallone, Samuel Pete Pallone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Credentials
Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
Contact Information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103Phone Number
(734) 663-1611# of Employees
471SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
26,433AUM (Assets Under Management)
$6,102,465,817Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
State Registrations and Notice Filings
(8/26/2013)
(2/14/2000)
(2/9/2002)
(5/8/2002)
(3/5/2025)
(2/11/2002)
(4/28/2025)
(2/1/2007)
(1/7/2004)
(6/27/2017)
(1/4/2010)
(2/9/2002)
(3/29/2023)
(2/26/2019)
(7/30/2021)
(7/31/2008)
(7/23/2014)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1994About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Pete Pallone's CRS (Customer Relationship Summary).
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