ES
Eric A. Swalla
SPC
Zeeland, MI 49464
Some features on this profile are disabled
CRD#: 4694141
ES
Professional summary
Eric Andrew Swalla, AIF®, who also goes by Swalla Andrew Eric, Swalla Eric, Eric Swalla, is a registered financial advisor currently at SPC located in Zeeland, Michigan and SIGMA FINANCIAL CORPORATION located in Zeeland, Michigan.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Eric has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Swalla Andrew Eric | Swalla Eric | Eric Swalla
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. DBA - Symmetra Advisors LLC for securities and insurance business. 2. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. 3. Sale of Badger Meter water testing equipment, Milwaukee, WI. Will be working remote. Start date: 12/1/21, approx. 120 hrs/mo, 70% during mkt hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Andrew Swalla'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
July 19, 2012 - Present
SPC
Office #1: 120-b Church St., Zeeland, MI 49464RIA
CRD#: 110692
Zeeland, MI
Current
July 19, 2012 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 120-b S Church St., Zeeland, MI 49464BD
CRD#: 14303
Zeeland, MI
Past
April 26, 2011 - July 20, 2012
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HOLLAND, MI
Past
April 21, 2011 - July 20, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HOLLAND, MI
Past
November 28, 2007 - February 18, 2011
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
HOLLAND, MI
Past
September 20, 2007 - September 27, 2007
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
HOLLAND, MI
Past
September 19, 2007 - February 18, 2011
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
HOLLAND, MI
Past
April 13, 2004 - September 17, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LANCASTER, PA
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(10/11/2013)
RR
Illinois(10/17/2019)
RR
Michigan(7/19/2012)
IAR
Michigan(8/9/2012)
Exams
State Security Law Exam
State Security Law Exam
General 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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Company Information
SPC
CRD#: 110692Zeeland, MI 49464TRUST BUT VERIFY
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