Robert C. Groves
SPC
Troy, MI 48084
Some features on this profile are disabled
CRD#: 2745731
Professional summary
Robert Claude Groves JR, CFP®, CIMA®, who also goes by Robert C Groves, is a registered financial advisor currently at SPC located in Troy, Michigan and SIGMA FINANCIAL CORPORATION located in Troy, Michigan.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert C Groves
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. DBA - Strategic Planning Concepts 2. As an independently licensed insurance agent, I am appointed with various insurance companies 3. RCG Enterprises LLC, Birmingham, MI. Owner - real estate holding LLC for the purpose of rental properties. Start date: 2/27/07, less than 2 hrs/mo, none during mkt hrs. 4. Serve as co-trustee for mother's trust. Start date: 2/27/07, less than 1 hr/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Claude Groves 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®
CFP®
Start date: 2010
Experience
Current
October 3, 2022 - Present
SPC
Office #1: 3310 W Big Beaver Road Ste 137, Troy, MI 48084RIA
CRD#: 110692
Troy, MI
Current
October 3, 2022 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 3310 W Big Beaver Drive Suite 137, Troy, MI 48084BD
CRD#: 14303
Troy, MI
Past
April 24, 2006 - October 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BIRMINGHAM, MI
Past
July 1, 2003 - October 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BIRMINGHAM, MI
Past
June 14, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 24, 1998 - June 22, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 28, 1996 - December 10, 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
Alabama(11/7/2023)
RR
Arizona(10/3/2022)
RR
California(10/3/2022)
RR
District of Columbia(4/11/2024)
RR
Florida(10/3/2022)
RR
Georgia(10/10/2024)
RR
Illinois(10/3/2022)
RR
Indiana(10/3/2022)
RR
Maryland(10/3/2022)
RR
Michigan(10/3/2022)
IAR
Michigan(10/3/2022)
RR
Minnesota(10/3/2022)
RR
Missouri(10/26/2023)
RR
New Jersey(10/3/2022)
RR
North Carolina(2/1/2024)
RR
Ohio(10/3/2022)
RR
Oregon(1/24/2024)
RR
Tennessee(10/3/2022)
RR
Texas(10/3/2022)
RR
Virginia(10/3/2022)
RR
Wisconsin(2/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
