DM
David M. Matles
SPC
Orange, CA 92865
Some features on this profile are disabled
CRD#: 2995484
DM
Professional summary
David Marc Matles, AIF® is a registered financial advisor currently at SPC located in Orange, California and SIGMA FINANCIAL CORPORATION located in Orange, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. ENROLL PARTICIPANTS INTO THEIR EMPLOYER SPONSORED 401(K)PLANS. 2. President - Matles & Associates Inc.; Offering employee benefits and insurance products including group health, individual health, dental insurance and vision insurance. 3. SALE OF VARIOUS LINES OF INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. 4. DBA - Matles Wealth Management, Orange, CA. Offers financial planning services through Sigma Financial Corp and SPC. Start date: 6/1/21. INV REL: Y 5. Board member - University of Redlands Alumni Board, Redlands, CA. Start date: 6/1/16, approx. 1 hr/mo. Not investment related. 6. Acting Trustee for Matles Family Trusts - David Matles, Trustee of the Trust for Harold Matles and the Trust for Grandchildren of Harold Matles (father) and David Matles, Trustee of the Trust for Judy Pendrick (Aunt). Start date: 6/1/19, approx. 2 hrs/mo with 1% during mkt hrs. 7. Trustee for The Harold Matles Trust FBO David Matles. Start date: 8/11/20, approx. 5 hrs/mo, all during mkt hrs. 8. Serve as successor trustee for the Matles Family Revocable Trust. Start date: 8/12/24, approx. 5 hrs/mo, 20% during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view David Marc Matles'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
February 6, 2004 - Present
SPC
Office #1: 1601 East Lincoln Ave Suite 101, Orange, CA 92865RIA
CRD#: 110692
Orange, CA
Current
January 25, 2000 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1601 East Lincoln Ave Suite 101, Orange, CA 92865BD
CRD#: 14303
Orange, CA
Past
July 23, 1999 - February 17, 2000
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 2, 1998 - July 22, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 3, 1998 - July 13, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 3, 1998 - July 13, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(9/10/2004)
RR
California(1/25/2000)
IAR
California(2/6/2004)
RR
Florida(12/20/2023)
RR
Illinois(1/27/2025)
RR
Indiana(4/24/2024)
RR
Montana(2/27/2025)
RR
Nevada(8/8/2018)
RR
New Jersey(11/20/2024)
RR
New Mexico(5/22/2025)
IAR
Texas(8/25/2016)
RR
Texas(12/4/2023)
RR
Virginia(1/23/2024)
RR
Wisconsin(2/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
