David M. Haik

SPC

Overland Park, KS

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CRD#: 2559633

Professional summary

David Michel Haik is a registered financial advisor currently at SPC located in Overland Park, Kansas and SIGMA FINANCIAL CORPORATION located in Overland Park, Kansas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 16 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. VARIOUS INSURANCE SALES THROUGH VARIOUS INSURANCE COMPANIES 2. DBA - DMH Financial Solutions, Overland Park, KS. Business name used for financial services practice. Start date: 8/1/22, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michel Haik's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 1, 2022 - Present

SPC

RIA

CRD#: 110692

Overland Park, KS

Current

July 1, 2022 - Present

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Overland Park, KS

Past

January 2, 2018 - May 27, 2022

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Kansas City, MO

Past

January 2, 2018 - May 27, 2022

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Kansas City, MO

Past

February 1, 2017 - December 31, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

KANSAS CITY, KS

Past

February 1, 2017 - December 31, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

KANSAS CITY, KS

Past

September 14, 2015 - February 28, 2017

BANKERS & INVESTORS CO.

CRD#: 6874

KANSAS CITY, KS

Past

September 8, 2015 - February 28, 2017

BANKERS & INVESTORS CO.

RIA

CRD#: 6874

KANSAS CITY, KS

Past

November 6, 2013 - March 21, 2014

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

OVERLAND PARK, KS

Past

November 6, 2013 - March 21, 2014

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OVERLAND PARK, KS

Past

August 1, 2012 - October 7, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

KANSAS CITY, MO

Past

August 1, 2012 - October 7, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

KANSAS CITY, MO

Past

April 20, 2012 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

RIA

CRD#: 16517

KANSAS CITY, MO

Past

February 9, 2011 - April 18, 2012

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

MILWAUKEE, WI

Past

February 9, 2011 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

KANSAS CITY, MO

Past

August 22, 2006 - February 2, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

KANSAS CITY, MO

Past

August 22, 2006 - February 2, 2011

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

KANSAS CITY, MO

Past

March 13, 2006 - August 18, 2006

AMERICAN CENTURY ADVISORY SERVICES, INC.

RIA

CRD#: 121974

KANSAS CITY, MO

Past

April 8, 2005 - August 18, 2006

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

January 25, 2002 - December 8, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

KANSAS CITY, MO

Past

March 2, 2001 - December 8, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 14, 1999 - March 5, 2001

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

November 4, 1997 - June 10, 1999

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

December 15, 1994 - August 28, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Kansas
(7/1/2022)

IAR

Kansas
(7/1/2022)

Louisiana
(7/1/2022)

Missouri
(7/1/2022)

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

State Security Law Exam

IAR

Series 65

Date: 12/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/20/2025)

SPC FORM ADV BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	26,544
AUM (Assets Under Management)	$ 5,655,661,675

Red Flags

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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Firm Stability Insights

David M. Haik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michel Haik's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

BANKERS & INVESTORS CO.

BANKERS & INVESTORS CO.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

M&I FINANCIAL ADVISORS, INC

M&I INVESTMENT MANAGEMENT CORP.

M&I FINANCIAL ADVISORS, INC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

AMERICAN CENTURY ADVISORY SERVICES, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

PAN-AMERICAN FINANCIAL ADVISERS

BMA FINANCIAL SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1998

Series 63

Date: 11/9/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2006

Series 6

Date: 12/14/1994

FINRA

Nasdaq Stock Market

Current Firm

SPC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPC

TRUST BUT VERIFY

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