AC
Alexander Cruz
SPC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 4711554
AC
Professional summary
Alexander Cruz, AIF®, CFP® is a registered financial advisor currently at SPC located in Irvine, California and PARKLAND SECURITIES, LLC located in Irvine, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Alexander has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. AS A LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES.
2. ALEXANDER CRUZ; INVESTMENT RELATED; 7545 IRVINE CENTER DRIVE SUITE 200 IRVINE CA 92618; STATUTORY AGENT; 10/1/2003; 160 HRS/MTH; 8 HRS DURING TRADING; SALE OF INSURANCE PRODUCTS.
3. CITADEL LAW OFFICES; NON-INVESTMENT RELATED; 2372 MORSE AVE IRVINE CA 92614; AGENT; 1/1/2004; 8 HRS/MTH; 0 HRS DURING TRADING; REFERRAL SERVICES TO THE LAW FIRM FOR ESTATE PLANNING AND TRUST RELATED SERVICES
4. GRACE LOU LAW, NON-INVESTMENT RELATED, 1500 ROSECRANS AVE., SUITE 500, MANHATTAN BEACH, CA 90266, PARALEGAL, 7/2/15, 8 HRS/MO, 0 HRS DURING TRADING HRS, REFERRAL SERVICES TO LAW FOR ESTATE PLANNING AND TRUST RELATED SERVICES.
5. ALEX CRUZ WEALTH MANAGEMENT: PROVIDE FINANCIAL SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Cruz'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: 2022
Experience
Current
July 7, 2015 - Present
SPC
Office #1: 7545 Irvine Center Drive Suite 214, Irvine, CA 92618RIA
CRD#: 110692
Irvine, CA
Current
July 6, 2015 - Present
PARKLAND SECURITIES, LLC
Office #1: 7545 Irvine Center Drive Ste. 200, Irvine, CA 92618BD
CRD#: 115368
Irvine, CA
Past
October 13, 2010 - July 8, 2015
OSAIC SERVICES, INC.
RIA
CRD#: 133763
TORRANCE, CA
Past
May 23, 2007 - July 25, 2011
INDEPENDENT CAPITAL MANAGEMENT
RIA
CRD#: 121354
SANTA MONICA, CA
Past
October 31, 2005 - July 8, 2015
OSAIC SERVICES, INC.
BD
CRD#: 133763
TORRANCE, CA
Past
October 13, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Arizona(4/21/2025)
RR
California(7/6/2015)
IAR
California(7/7/2015)
RR
Colorado(3/1/2018)
RR
Connecticut(4/30/2025)
RR
Maryland(1/4/2021)
RR
Nevada(7/6/2015)
RR
New York(3/7/2021)
RR
Oregon(6/7/2022)
RR
Virginia(4/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
