RR
Robert D. Rumsey
SPC
Coldwater, MI 49036
Some features on this profile are disabled
CRD#: 3165009
RR
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R. David Rumsey
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Rumsey'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
May 21, 2020 - Present
SPC
Office #1: 365 Northshore Drive, Coldwater, MI 49036RIA
CRD#: 110692
Coldwater, MI
Current
May 15, 2020 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Coldwater, MI
Past
March 19, 2014 - April 24, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
COLDWATER, MI
Past
March 14, 2014 - April 24, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
COLDWATER, MI
Past
February 12, 2010 - March 14, 2014
SPC
RIA
CRD#: 110692
COLDWATER, MI
Past
June 23, 2004 - March 14, 2014
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
COLDWATER, MI
Past
April 9, 1999 - July 8, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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(1/3/2022)
RR
Michigan(5/21/2020)
IAR
Michigan(5/21/2020)
RR
Texas(8/23/2024)
IAR
Texas(8/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/15/2020
General Securities Representative ExaminationGeneral 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.
Company Information
SPC
CRD#: 110692Coldwater, MI 49036TRUST BUT VERIFY
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