PW
Peggy S. Winkelmann
SPC
HUNTSVILLE, TX 77340
Some features on this profile are disabled
CRD#: 2928711
PW
Professional summary
Peggy Sue Winkelmann, who also goes by Peggy S Winkelmann, is a registered financial advisor currently at SPC located in Huntsville, Texas and PARKLAND SECURITIES, LLC located in Huntsville, Texas.
Peggy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Peggy has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peggy S Winkelmann
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 - Winkelmann Asset Management, Huntsville, TX. Name used for financial services practice with services offered through Parkland Securities LLC. Start date: 4/15/24. INV REL: Y 2. SELF/RENTAL: CR129 176, MARLIN, TX 76661; STARTED: 5/28/2005; OWNER; 4 HRS WORKED; RENTAL HOUSE. 3. SELF/RENTAL HOME: 66 JONES VIEW DRIVE, HUNTSVILLE, TX 77320; STARTED: 4/1/2007; JOINT OWNER; 2 HRS WORKED; LOOK AT PROPERTY PERIODICALLY. 4. SELF/RENTAL OFFICE BUILDING: 1330 AVENUE Q HUNTSVILLE, TX 77340; STARTED 2/19/2015; JOINT OWNER; 4 HOURS WORKED. 5. Rental: 2408 Settlers Way, Huntsville, TX 77320; Started: 12/21/16; Approx. 4 hrs/mo., none during market hours; property solely owned by spouse. 6. SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES 7. HUNTSVILLE EDUCATION FOUNDATION - BOARD MEMBER
CRS (Client Relationship Summary) - RIA
Click below to view Peggy Sue Winkelmann'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
July 6, 2007 - Present
SPC
Office #1: 1330 Avenue Q, Huntsville, TX 77340RIA
CRD#: 110692
HUNTSVILLE, TX
Current
July 6, 2007 - Present
PARKLAND SECURITIES, LLC
Office #1: 1330 Avenue Q, Huntsville, TX 77340BD
CRD#: 115368
Huntsville, TX
Past
February 9, 2007 - May 10, 2007
EDWARD JONES
RIA
CRD#: 250
HUNTSVILLE, TX
Past
September 10, 1997 - May 10, 2007
EDWARD JONES
BD
CRD#: 250
HUNTSVILLE, TX
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
Arizona(7/16/2019)
RR
Arkansas(8/21/2012)
RR
California(7/1/2025)
RR
Colorado(12/7/2010)
RR
Florida(1/4/2021)
RR
Mississippi(6/13/2025)
RR
Oklahoma(12/7/2010)
RR
Texas(7/6/2007)
IAR
Texas(7/6/2007)
RR
Washington(5/5/2020)
Exams
State Security Law Exam
State Security Law 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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Company Information
SPC
CRD#: 110692Huntsville, TX 77340TRUST BUT VERIFY
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