DE
David J. Elrod
SPC
Toledo, OH 43615
Some features on this profile are disabled
CRD#: 4906761
DE
Professional summary
David James Elrod, AIF® is a registered financial advisor currently at SPC located in Toledo, Ohio and SIGMA FINANCIAL CORPORATION located in Toledo, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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. DBA - CALIBER INVESTMENTS, LLC., PERRYSBURG, OH. SOLE MEMBER 2. In addition to securities, also sells various insurance products, including life insurance, annuities, and Medicare supplements from various insurance companies. 3. Author of children's book ("My First Book About Money"), teaching them the value of good money habits such as spending, saving, and giving. 4. Assist my children with various business ventures of their own including beekeeping and selling honey (Hannah's Heavenly Honey), repairing bicycles, refurbishing golf carts, and rebuilding other equipment and vehicles. Teaching mechanical skills as well as business skills including marketing, accounting and customer service. Start date: 11/1/16 with time spent on weekends and during evening hours. 5. Notary public, Perrysburg, OH - offering notary services. Start date: 10/15/18, approx. 1-3 hrs/mo. 6. President/Owner/Sole Member - Caliber Investment Properties, LLC, Perrysburg, OH. Holding company for commercial real estate for the building housing my practice and the leasing of other office space. Start date: 12/3/20, less than 10 hrs/mo, none during mkt hrs. Not investment related. 7. Co-Owner & Member - Zip-It, LLC, Toledo, OH. Manufacturing and sale of various lip balm products through online sales. Start date: 6/13/23, approx. 20 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view David James Elrod'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
November 21, 2007 - Present
SPC
Office #1: 1351 S. Reynolds Rd Suite A, Toledo, OH 43615RIA
CRD#: 110692
Toledo, OH
Current
September 5, 2006 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1351 S. Reynolds Rd Suite A, Toledo, OH 43615BD
CRD#: 14303
Toledo, OH
Past
May 17, 2005 - July 27, 2006
OBS BROKERAGE SERVICES, INC.
RIA
CRD#: 104281
WATERVILLE, OH
Past
January 31, 2005 - September 6, 2006
OBS BROKERAGE SERVICES, INC.
BD
CRD#: 104281
WHITEHOUSE, OH
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
Alabama(9/22/2021)
RR
Arizona(1/15/2010)
RR
Arkansas(6/13/2018)
IAR
California(4/15/2008)
RR
Colorado(12/16/2015)
RR
Connecticut(10/5/2018)
RR
Florida(10/30/2006)
RR
Georgia(12/5/2016)
RR
Idaho(3/20/2015)
RR
Kentucky(6/10/2021)
RR
Michigan(9/5/2006)
RR
Minnesota(1/29/2015)
RR
Mississippi(10/21/2009)
RR
North Carolina(8/1/2014)
RR
North Dakota(5/9/2023)
RR
Ohio(9/5/2006)
IAR
Ohio(11/21/2007)
RR
Pennsylvania(9/5/2006)
RR
South Carolina(7/6/2021)
RR
Tennessee(6/13/2011)
IAR
Texas(8/31/2017)
RR
Texas(2/6/2020)
RR
Virginia(6/17/2014)
RR
Washington(2/26/2021)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
