SM
Susan J. Macfarland-helton
SPC
St. Thomas, VI 00802
Some features on this profile are disabled
CRD#: 2848244
SM
Professional summary
Susan Joy Macfarland-helton, AIF®, CFP®, who also goes by Susan Joy Macfarland, is a registered financial advisor currently at SPC located in St. Thomas, and PARKLAND SECURITIES, LLC located in Pembroke, Maine.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Susan has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Joy Macfarland
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. I HOLD LIFE AND HEALTH INSURANCE APPOINTMENTS WITH VARIOUS COMPANIES. 2. REAL ESTATE AGENT LICENSE ON HOLD WITH LICENSING DEPARTMENT. 3. TRUSTEE OF HELTON FAMILY TRUST. 4. Board of Trustees / General Board Member - Washington Academy, an independent secondary school in East Machias, ME. Also serve as Chair of the Equity Inclusion and Diversity Committee. Start date: 12/6/18, approx. 3-4 hrs/mo, none during mkt hours. Not investment related. 5. Have General and Durable Power of Attorney for my mother, husband, and son. Start date: 11/29/21, less than 1 hour/mo. Not investment related. 6. Board of Trustees / Vice President - Washington Academy, an independent secondary school in East Machias, ME. Start date: 6/20/25, Duties include running meetings. Approx. 1.50 hrs/mo, none during mkt hours. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Joy Macfarland-helton'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: 2022
Experience
Current
May 3, 2005 - Present
SPC
Office #1: 4608 Tutu Park Mall Suite 202, St. Thomas, VI 00802RIA
CRD#: 110692
St. Thomas, VI
Current
September 23, 2004 - Present
PARKLAND SECURITIES, LLC
Office #2: 4608 Tutu Park Mall Suite 202, St. Thomas, VI 00802BD
CRD#: 115368
Pembroke, ME
Past
February 18, 1997 - September 21, 2004
SESLIA SECURITIES
BD
CRD#: 30624
ST THOMAS, VI
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(9/18/2012)
RR
Kentucky(1/13/2022)
RR
Maine(9/23/2004)
IAR
Maine(5/31/2005)
RR
Massachusetts(6/26/2018)
RR
Minnesota(9/22/2015)
RR
South Carolina(2/4/2015)
RR
Texas(8/25/2021)
IAR
Texas(11/7/2024)
RR
Virgin Islands(4/11/2005)
IAR
Virgin Islands(5/3/2005)
Exams
State Security Law 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
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Company Information
SPC
CRD#: 110692St. Thomas, VI 00802TRUST BUT VERIFY
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