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RR

Robert David Rumsey

SPC
Coldwater, MI
·CRD# 3165009·27 years experience

Professional Summary

Robert David Rumsey, who also goes by R. David Rumsey, is a registered financial advisor currently at SPC located in Coldwater, Michigan and SIGMA FINANCIAL CORPORATION located in Coldwater, Michigan. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

R. David Rumsey

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

SPC·CRD# 110692
RIA
365 Northshore Drive, Coldwater, MI 49036
May 21, 2020 - Present
SIGMA FINANCIAL CORPORATION·CRD# 14303
BD
Coldwater, MI
May 15, 2020 - Present
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC·CRD# 149018
RIA
Coldwater, MI
March 19, 2014 - April 24, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
Coldwater, MI
March 14, 2014 - April 24, 2017
SPC·CRD# 110692
RIA
Coldwater, MI
February 12, 2010 - March 14, 2014
SIGMA FINANCIAL CORPORATION·CRD# 14303
BD
Coldwater, MI
June 23, 2004 - March 14, 2014
HOCHMAN & BAKER SECURITIES, INC.·CRD# 19949
BD
Stamford, CT
April 9, 1999 - July 8, 2004

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Current Firm

SP
SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103

Phone Number

(734) 663-1611

# of Employees

471

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPC FORM ADV BROCHURE (5/7/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,433

AUM (Assets Under Management)

$6,102,465,817

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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) Branch County Abstract & Title, Inc., 22 Tibbits Plaza, Coldwater, MI 49036. Title, abstract and closing services; 50% owner; president of corporation; apprx 4 hours/year of board meetings. 2) Tibbits Plaza Properties, LLC 20 Tibbits Plaza, Coldwater, MI 49036;Rental of real estate;50% ownership; approx 2 hours/year for board meetings. 3) RD Rumsey Consulting 365 Northshore drive, Coldwater, MI 49036; Management services provided to Branch County Abstract & Title Inc as the liaison between the owners and our manager; 100% ownership; approx 10 hours/month 4) JWDR Investments- 365 Northshore Drive, Coldwater, MI 49036;Investments held for life insurance premium payments held on the owners of Branch County Abstract & Tile Inc. and Tibbits Plaza Properties, LLC. All investments are Certificates of Deposits held in a bank. 50% ownership; approx 2 hour/year 5) ARDR Investments- 365 Northshore drive Coldwater, MI 49036;currently investments are in real estate properties;51% owner and 49% my son owns; approx 2 hours/year. 6) American Baptist Churches of Michigan Foundation- 4578 Hagadorn Road, Lansing, MI 48823; Trustee of the Foundation; Start date: 4/11/23; Approx. 10 hrs/yr. 7) City of Coldwater- One Grand Street Coldwater, MI 49036;member of the community Development Advisory Committee; no meetings in a number of years. 8) R. David Rumsey, CPA- nonpracticing CPA 9) R David Rumsey Investments - DBA name used with my financial services practice. Start date: 4/11/23, approx. 20 hrs/wk. INV REL: Y 10) Acting as POA for my mother. Start date: 8/30/23.

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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 - SEC (1/11/1984 Approved)
Alaska
Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)
Arizona
Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)
California
Registered Investment Advisory firm - California (1/17/2002 Cancelled)
Colorado
Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)
Delaware
Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)
Hawaii
Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)
Montana
Registered Investment Advisory firm - Montana (2/12/2002 Terminated)
New Hampshire
Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)
New Mexico
Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)
New York
Registered Investment Advisory firm - New York (1/17/2002 Cancelled)
Rhode Island
Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)
Utah
Registered Investment Advisory firm - Utah (1/17/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(1/3/2022)
RR
Michigan
(5/21/2020)
IAR
Michigan
(5/21/2020)
RR
Texas
(8/23/2024)
IAR
Texas
(8/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2020About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1999About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed May 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Apr 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2008About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1999About the Series 6 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Robert David Rumsey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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