MT
Marcus M. Trivedi
SPC
Chicago, IL
Some features on this profile are disabled
CRD#: 4060253
MT
Professional summary
Marcus Mayurkant Trivedi, CFP®, who also goes by Marcos Trivedi, Mark Trivedi, is a registered financial advisor currently at SPC located in Chicago, Illinois and PARKLAND SECURITIES, LLC located in Chicago, Illinois.
Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Marcus has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marcos Trivedi | Mark Trivedi
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. TRIVEDI FINANCIAL GROUP; SALE OF VARIOUS TRADITIONAL CONTRACTS WITH VARIOUS TRADITIONAL INSURANCE COMPANIES. 2. Sale of Long Term Care insurance, Disability insurance and Health insurance through various FMOs. Start date: 12/4/20, approx. 1 hr/mo. 3. One of 3 trustees of my mother's trust FBO my father. Duties include communicating with the property manager managing the 2 properties owned by the trust. Start date: 8/1/21, approx. 2 hrs/mo, none during mkt hrs. INV REL: N 4. Serve as Deacon for The Moody Church, Chicago, IL. Also serve on the Finance Committee. Duties are to prepare reports to provide to leadership council members. No access to funds. Start date: 11/13/23, approx. 6 hrs/mo, none during mkt hrs. INV REL: N 5. Receive rental income from a residential property located in Chicago, IL. Start date: 8/1/24, approx. 2 hrs/mo. INV REL: N 6. Serve as Discretionary Trustee for account for father. No current duties as will be acting as a successor trustee, when needed. Start date: 8/1/24. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Marcus Mayurkant Trivedi'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®
CFP®
Start date: 2011
Experience
Current
June 11, 2003 - Present
SPC
RIA
CRD#: 110692
Chicago, IL
Current
October 16, 2002 - Present
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Chicago, IL
Past
April 26, 2000 - September 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
CHICAGO, IL
Past
January 2, 2000 - September 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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
Arkansas(11/6/2014)
RR
California(10/16/2002)
RR
Colorado(3/23/2021)
RR
Florida(4/8/2011)
RR
Illinois(10/16/2002)
IAR
Illinois(6/11/2003)
RR
Indiana(10/16/2002)
RR
Kansas(3/7/2025)
RR
Kentucky(10/16/2002)
RR
Maryland(10/2/2023)
RR
Michigan(12/5/2011)
RR
Missouri(1/3/2020)
RR
New Mexico(1/7/2025)
RR
North Carolina(1/2/2018)
RR
Ohio(10/16/2002)
RR
Pennsylvania(12/6/2021)
RR
Tennessee(4/22/2022)
RR
Texas(8/29/2016)
RR
Virginia(3/1/2019)
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
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.
