HN
Harvey N. Nuttall
SPC
Grand Rapids, MI
Some features on this profile are disabled
CRD#: 4802333
HN
Professional summary
Harvey Neil Nuttall, AIF®, ChFC® is a registered financial advisor currently at SPC located in Grand Rapids, Michigan and SIGMA FINANCIAL CORPORATION located in Grand Rapids, Michigan.
Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Harvey has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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 AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. Sale of health insurance (Individual and Group) and Medicare insurance. Start date: 10/15/18, approx. 8 hrs/mo with 80% during mkt hrs. 2. Board member - Ada Township Zoning Board of Appeals, Ada, MI. Sit on the Ada Township Zoning Board of Appeals and vote on zoning variance applications. Start date 07/2017, approx. 2 hrs/mo; none during mkt hrs. Not investment related. 3. Board Member of the DeutscheMarques Auto Group Board that organizes an annual car show at the Gilmore Car Museum in Hickory Corners, MI during the first week July. One of the founding members of the group, started in 2012, approx. 2 hrs/mo from April to July. Not investment related. 4, DBA - Lancashire Wealth Management, LLC, Grand Rapids, MI. Name used for my securities practice with services offered through Sigma Financial Corporation and SPC. Start date: 5/1/25, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Neil Nuttall'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 18, 2018 - Present
SPC
RIA
CRD#: 110692
Grand Rapids, MI
Current
July 18, 2018 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 4981 Cascade Rd Se, Grand Rapids, MI 49546BD
CRD#: 14303
Grand Rapids, MI
Past
March 2, 2015 - July 20, 2018
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
ADA, MI
Past
October 20, 2004 - July 20, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ADA, MI
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
Georgia(2/4/2025)
IAR
Illinois(4/9/2019)
RR
Michigan(7/18/2018)
IAR
Michigan(7/18/2018)
IAR
Nevada(1/23/2019)
IAR
North Carolina(4/22/2019)
RR
North Carolina(1/27/2025)
IAR
Oregon(7/25/2018)
IAR
South Carolina(5/5/2022)
IAR
Texas(9/11/2019)
IAR
Vermont(7/25/2018)
IAR
Washington(5/14/2019)
RR
Washington(3/13/2023)
Exams
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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Check for any disclosures as part of your thorough research when choosing an advisor.
