WH
Walter J. Hails
SPC
Ithaca, NY
Some features on this profile are disabled
CRD#: 2618254
WH
Professional summary
Walter James Hails Jr, who also goes by Walt Hails, Walter James Hails Jr, Walter James Hails, is a registered financial advisor currently at SPC located in Ithaca, New York and SIGMA FINANCIAL CORPORATION located in Ann Arbor, Michigan.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Walter has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 52, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walt Hails | Walter James Hails Jr | Walter James Hails
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. Board member - The RHO Foundation, Bloomfield Hills, MI. The Foundation is committed to providing resources to social and civil advocacy programs that support the Foundation's purpose. Start date: 4/1/21 - term ends 2027. Approx. 2-4 hrs/mo, none during mkt hrs. INV REL: N 2. Insurance sales - resident producer holding Accident and Health, Life and Variable Annuities licenses with the State of MI. Start date: 4/21/21, less than 1 hr/mo. 3. Board member - VP for Sigma Pi Phi/Zeta Zeta Boule, an African-American professional fraternity with chapter located in Syracuse, NY. General board duties. Start date: 3/15/25 for 2 year term. Approx. 8-10 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Walter James Hails Jr'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®
NoneExperience
Current
January 30, 2020 - Present
SPC
RIA
CRD#: 110692
Ithaca, NY
Current
January 29, 2020 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103BD
CRD#: 14303
Ann Arbor, MI
Current
February 18, 2020 - Present
PARKLAND SECURITIES, LLC
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103BD
CRD#: 115368
Ann Arbor, MI
Past
May 14, 2019 - September 25, 2019
MORGAN STANLEY
RIA
CRD#: 149777
FLINT, MI
Past
May 14, 2019 - September 25, 2019
MORGAN STANLEY
BD
CRD#: 149777
FLINT, MI
Past
August 18, 2017 - May 21, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ANN ARBOR, MI
Past
June 9, 2017 - May 21, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ANN ARBOR, MI
Past
September 9, 2014 - May 11, 2017
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
September 9, 2014 - May 11, 2017
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ANN ARBOR, MI
Past
April 3, 2003 - July 24, 2014
SCOTTRADE, INC.
BD
CRD#: 8206
CANTON, MI
Past
May 8, 2000 - March 14, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 27, 1995 - July 8, 1996
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Delaware(2/5/2021)
RR
District of Columbia(3/10/2021)
RR
Florida(1/29/2021)
RR
Georgia(1/29/2021)
RR
Maryland(1/28/2021)
RR
Massachusetts(9/29/2023)
IAR
Michigan(1/30/2020)
RR
Michigan(2/3/2020)
RR
New York(5/4/2023)
RR
North Carolina(2/26/2021)
RR
Ohio(1/28/2021)
RR
Puerto Rico(2/2/2021)
RR
South Carolina(2/25/2021)
RR
Virgin Islands(2/3/2021)
RR
Virginia(2/4/2021)
RR
West Virginia(6/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
