AA
Adrienne M. Alvarez
SPC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 4830617
AA
Professional summary
Adrienne Marie Alvarez, who also goes by Adrienne Alvarez, is a registered financial advisor currently at SPC located in Irvine, California and PARKLAND SECURITIES, LLC located in Irvine, California.
Adrienne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Adrienne has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adrienne Alvarez
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. Tijeras Creek Golf Club, 29082 Tijeras Creek, Rancho Santa Margarita, CA - Outside/W-2 Employment - Golf Cart / Event Server. Started 11/24/2021, approx. 15 hrs/mo. INV REL: N 2. Sales Associate - Anthropologie. Located in Irvine Spectrum Center, Irvine, CA. Seasonal help. Start date: 9/14/25, approx. 14 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Adrienne Marie Alvarez'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
November 13, 2024 - Present
SPC
Office #1: 7545 Irvine Center Drive Suite 214, Irvine, CA 92618RIA
CRD#: 110692
Irvine, CA
Current
November 13, 2024 - Present
PARKLAND SECURITIES, LLC
Office #1: 7545 Irvine Center Drive Ste. 200, Irvine, CA 92618BD
CRD#: 115368
Irvine, CA
Past
July 21, 2021 - October 15, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
TUSTIN, CA
Past
July 21, 2021 - October 15, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
TUSTIN, CA
Past
June 11, 2020 - July 21, 2021
WADDELL & REED
RIA
CRD#: 866
IRVINE, CA
Past
June 11, 2020 - July 21, 2021
WADDELL & REED
BD
CRD#: 866
IRVINE, CA
Past
February 6, 2012 - March 19, 2020
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ORANGE, CA
Past
January 13, 2011 - March 19, 2020
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ORANGE, CA
Past
May 2, 2009 - January 14, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
TUSTIN, CA
Past
December 16, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
TUSTIN, CA
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(11/13/2024)
RR
California(11/13/2024)
IAR
California(11/13/2024)
RR
Colorado(1/7/2025)
RR
Florida(12/9/2024)
RR
Kansas(11/13/2024)
RR
North Carolina(12/9/2024)
RR
South Carolina(11/15/2024)
RR
Washington(11/13/2024)
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
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.
