WM
William L. Masten
SPC
Pennsville, NJ 08070
Some features on this profile are disabled
CRD#: 2796244
WM
Professional summary
William Lister Masten, AIF®, who also goes by Bill Masten, is a registered financial advisor currently at SPC located in Pennsville, New Jersey and PARKLAND SECURITIES, LLC located in Pennsville, New Jersey.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. William has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Masten
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 - Oak Tree Financial Services - offering securities products. Start date: 8/19/11, approx. 140 hrs/mo. 2. Pennsville National Bank - Trust Officer and VP/COO of the bank. Dual employee of Penn Bancshares. Start date: 1/1/08, approx. 80 hrs/mo with 90% during mkt hrs. 3. Chairman and President of Penn Bancshares, Inc. Start date: 1/30/08, approx. 8 hrs/mo with 50% during mkt hrs. Elected Chairman on 2/11/25. 4. PENNSVILLE SEWERAGE AUTHORITY - MEMBER. Attend monthly meetings. Start date: 2/1/14, approx. 2 hrs/mo, none during mkt hrs. 5. Partner - FENN and Company (nominee name for Trust Dept.). Start date: 1/30/08, approx. 1 hr/mo with 50% during mkt. hrs. 6. President - DENN and Company. Start date: 1/30/08, approx. 4 hrs/mo, all during mkt hrs. 7. Sale of non-variable insurance products (term life) through FMOs. Start date: 8/16/19, approx. 5 hrs/mo with less than 5% during mkt hrs. 8. Purchase of investment property with intention to rehab and sell. Start date: 11/10/19, approx. 40 hrs/mo, none during mkt hrs. Not investment related. 9. Serve as executor for father's estate. General duties include disbursing estate assets and paying debts. Start date: 6/14/25, less than 1 hr/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view William Lister Masten'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
November 1, 2017 - Present
SPC
Office #1: 170 South Broadway, Pennsville, NJ 08070RIA
CRD#: 110692
Pennsville, NJ
Current
November 1, 2017 - Present
PARKLAND SECURITIES, LLC
Office #1: 170 South Broadway, Pennsville, NJ 08070BD
CRD#: 115368
Pennsville, NJ
Past
September 19, 2011 - November 1, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
PENNSVILLE, NJ
Past
September 19, 2011 - November 1, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
PENNSVILLE, NJ
Past
March 8, 2005 - September 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
PENNSVILLE, NJ
Past
October 1, 1996 - September 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
PENNSVILLE, NJ
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(11/1/2017)
RR
Florida(11/1/2017)
RR
New Jersey(11/1/2017)
IAR
New Jersey(11/2/2017)
RR
New York(11/1/2017)
RR
North Carolina(11/1/2017)
RR
Pennsylvania(11/1/2017)
RR
Texas(1/14/2019)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
