GR
Gary D. Richmond
SPC
Troy, MI 48083
Some features on this profile are disabled
CRD#: 2729652
GR
Professional summary
Gary Duane Richmond SR, who also goes by Gary D Richmond, is a registered financial advisor currently at SPC located in Troy, Michigan and SIGMA FINANCIAL CORPORATION located in Troy, Michigan.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Gary has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary D Richmond
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. 5/7/2010: NON-VARIABLE INSURANCE - RICHMOND FINANCIAL, LLC - INSURANCE AGENT/REPRESENTATIVE - SELLING FIXED INSURANCE PRODUCTS FROM OUTSIDE FMO'S - TIME SPENT 10% - TROY, MI. 2. 10/26/2012: NON-VARIABLE INSURANCE DBA - RICHMOND FINANCIAL, LLC - INSURANCE AGENT/REPRESENTATIVE - SELLING FIXED INSURANCE PRODUCTS FROM OUTSIDE FMO'S. - TIME SPENT 10% - TROY, MI. 3. 1/28/2019 - No Business Name - Investment Related - Home Based & Oliver Twp, Huron County, MI - Real Estate Rental - 0 Hours Per Month - Part owner of family owned farmland, farmed by 2 brothers. 4. Church President of Gloria Del Lutheran Church; Grand Blanc, MI. Oversee the Church Council and congregation. Work with Church Council to set the agenda for monthly meetings and quarterly votes for matters of the church. Start date: 2/1/22 for a 3 year term, approx. 2 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Gary Duane Richmond SR'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
December 6, 2019 - Present
SPC
Office #1: 2265 Livernois Rd Ste 400, Troy, MI 48083RIA
CRD#: 110692
Troy, MI
Current
December 2, 2019 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 2265 Livernois Rd. Ste. 400, Troy, MI 48083BD
CRD#: 14303
Troy, MI
Past
July 7, 2010 - April 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
TROY, MI
Past
September 8, 2009 - April 16, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
TROY, MI
Past
July 30, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
TROY, MI
Past
February 2, 2001 - July 24, 2002
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
May 13, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 13, 1996 - February 2, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Florida(1/9/2020)
RR
Georgia(12/3/2019)
RR
Illinois(12/12/2019)
RR
Indiana(7/18/2025)
RR
Michigan(12/11/2019)
IAR
Michigan(12/12/2019)
RR
North Carolina(12/23/2019)
RR
Oklahoma(12/16/2019)
RR
Pennsylvania(8/29/2023)
RR
South Carolina(12/23/2019)
RR
Texas(12/19/2019)
RR
Wisconsin(12/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
