WP
Walter J. Powrozek
SPC
NOVI, MI 48375
Some features on this profile are disabled
CRD#: 2549804
WP
Professional summary
Walter James Powrozek, AIF® is a registered financial advisor currently at SPC located in Novi, Michigan and SIGMA FINANCIAL CORPORATION located in Novi, Michigan.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Walter has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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. WALTER J. POWROZEK & ASSOCIATES, LLC; INCOME FROM SECURITIES AND INSURANCE BUSINESS PAID THROUGH SIGMA FINANCIAL AND SIGMA PLANNING CORPORATION.
2. SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.
3. SELLS FIXED ANNUITIES, IMMEDIATE ANNUITIES AND FIXED INDEXED ANNUITIES.
4. dba - River Oaks Wealth Advisors, LLC, Novi, MI. Offering financial services. President, founder and 50% owner. Start date: 3/1/16, approx. 160 hrs/mo., majority during market hours.
5. LP MANAGEMENT, LLC; 50% OWNER WITH JOSEPH LEZOTTE; USED FOR CURRENT OFFICE LEASE/EXPENSES.
6. I AM TRUSTEE FOR MY OWN TRUST WITH MY WIFE AND ALSO MY FAMILY(MOTHER'S TRUST)
7. Acting Director and VP - River Oaks Association HOA, Milford, MI. Start date: 7/21/20 for 1 year term. Approx. 1-2 hrs/mo, minimal time during mkt hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Walter James Powrozek'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
April 24, 2010 - Present
SPC
Office #1: 41160 10 Mile Rd, Novi, MI 48375RIA
CRD#: 110692
NOVI, MI
Current
December 20, 2007 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 41160 Ten Mile Rd, Novi, MI 48375BD
CRD#: 14303
Novi, MI
Past
July 19, 2002 - December 5, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FARMINGTON HILLS, MI
Past
August 29, 1996 - July 29, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Arizona(12/20/2007)
RR
Arkansas(1/9/2015)
RR
California(1/20/2010)
RR
Colorado(1/20/2010)
RR
Florida(12/20/2007)
RR
Georgia(9/30/2014)
RR
Hawaii(1/29/2025)
RR
Idaho(1/9/2015)
RR
Illinois(7/2/2024)
RR
Indiana(1/29/2025)
RR
Kentucky(1/29/2025)
RR
Michigan(12/20/2007)
IAR
Michigan(6/23/2010)
RR
New York(3/3/2025)
RR
North Carolina(1/15/2015)
RR
Ohio(12/20/2007)
RR
Oklahoma(1/21/2014)
RR
Oregon(4/29/2025)
RR
Tennessee(1/29/2025)
IAR
Texas(7/10/2017)
RR
Texas(1/29/2025)
RR
Virginia(1/3/2023)
RR
Washington(12/20/2007)
Exams
State Security Law Exam
State Security Law 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.
