JO
John P. O'callaghan
SPC
Mt. Prospect, IL 60056
Some features on this profile are disabled
CRD#: 350626
JO
Professional summary
John Peter O'callaghan, who also goes by John Peter Ocallaghan, is a registered financial advisor currently at SPC located in Mt. Prospect, Illinois and SIGMA FINANCIAL CORPORATION located in Mt. Prospect, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. John has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Peter Ocallaghan
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.
AS AN INDEPENDENTLY LICENSED INSURANCE AGENT I AM CURRENTLY APPOINTED WITH VARIOUS INSURANCE COMPANIES DBA - Touch Financial Group, Northfield, IL. Provide financial services. Start date: 4/14/23, approx. 160 hrs/mo. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view John Peter O'callaghan'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
June 3, 2014 - Present
SPC
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056RIA
CRD#: 110692
Mt. Prospect, IL
Current
June 3, 2014 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056BD
CRD#: 14303
Mt. Prospect, IL
Past
May 13, 2004 - June 4, 2014
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CHICAGO, IL
Past
May 13, 2004 - June 4, 2014
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
CHICAGO, IL
Past
March 13, 2003 - May 27, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICAGO, IL
Past
March 13, 2003 - May 27, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
November 24, 1999 - April 1, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CHICAGO, IL
Past
October 20, 1980 - April 1, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 7, 1973 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
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(3/3/2022)
RR
Illinois(6/3/2014)
IAR
Illinois(6/3/2014)
RR
New York(1/9/2018)
RR
North Carolina(6/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/3/1973
Registered Representative ExaminationSRO 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
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.
