NS
Nicholas J. Stroia
SPC
SOUTHGATE, MI 48195
Some features on this profile are disabled
CRD#: 2578559
NS
Professional summary
Nicholas Joseph Stroia, AIF® is a registered financial advisor currently at SPC located in Southgate, Michigan and SIGMA FINANCIAL CORPORATION located in Southgate, Michigan.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 5 firms and has passed the Series 65, 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. STROIA SECURITIES SERVICE, INC: SALES OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. 2. SELLING FIXED LIFE & FIXED ANNUITY CONTRACTS. 3. Axos Bank: SAVINGS ACCOUNTS 4. Stroia Insurance Group, LLC, Southgate, MI. Sale of health plans, fixed annuities and life insurance. Start date: 3/14/12, approx. 1 hr/mo. 5. Member - Knights of Columbus, Southgate Rotary Club, and Entrepreneurs Organization. Provides learning, socializing and networking opportunities. Start date: 9/12/17, approx. 1-2 hrs/mo. Not investment related. 6. Receive rental income from the building housing my practice. Start date: 7/1/20, approx. 1 hr/mo. Not investment related. 7. Successor Trustee of my mother's trust. Have all trustee powers and currently working to pay final bills and distribute assets to her beneficiaries. Start date: 1/19/22, approx. 12 hrs/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Joseph Stroia'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
January 4, 2007 - Present
SPC
Office #1: 13260 Dix-toledo Road, Southgate, MI 48195RIA
CRD#: 110692
SOUTHGATE, MI
Current
March 4, 1998 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 13260 Dix-toledo Road, Southgate, MI 48195BD
CRD#: 14303
Southgate, MI
Past
December 15, 1997 - March 12, 1998
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
March 15, 1995 - October 27, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 15, 1995 - October 27, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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.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(3/15/2018)
RR
California(5/25/2022)
RR
Florida(1/28/2021)
RR
Georgia(6/14/2018)
RR
Indiana(9/4/2024)
RR
Kentucky(2/8/2019)
RR
Massachusetts(5/23/2018)
RR
Michigan(3/4/1998)
IAR
Michigan(2/2/2010)
RR
Ohio(3/10/2010)
RR
Oregon(4/6/2022)
RR
South Dakota(8/10/2022)
RR
Tennessee(7/13/2009)
RR
Texas(8/17/2016)
IAR
Texas(7/14/2020)
RR
Virginia(1/4/2021)
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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Company Information
SPC
CRD#: 110692Southgate, MI 48195TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
