KW
Kyle T. Waugh
SPC
COLORADO SPRINGS, CO 80909
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CRD#: 4919663
KW
Professional summary
Kyle Thomas Waugh, AIF®, who also goes by Kyle T Waugh, is a registered financial advisor currently at SPC located in Colorado Springs, Colorado and PARKLAND SECURITIES, LLC located in Colorado Springs, Colorado.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kyle has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kyle T Waugh
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 - Agora Wealth Management: Sales of securities and insurance. I hold various traditional appointments with various traditional companies. Start date: 1/11/03, approx. 160 hrs/mo. INV REL: Y 2. OWNER - KYLE WAUGH SALES - AFTER MARKET AUTOMOTIVE PERFORMANCE PARTS/ FABRICATION - RELATED ITEMS. 3. I CURRENTLY RENT 2 PROPERTIES THAT I CO-OWN AND COLLECT PASSIVE INCOME. Start date: 2/2/16, approx. 2 hrs/mo, none during market hours. Not investment related. 4. 20% owner of Carragh Properties, LLC, Colorado Springs, CO. Purchase of building / property to house business office as well as other tenants. Start date: 4/1/17, approx. 2 hrs/mo. 5. Owner/operator - JKLOL LLC, a company used to operate my YouTube channel covering spiritual topics and DIY projects. Start date: 1/17/25, approx. 10 hrs/mo outside of trading hrs. Not investment related. 6. Sole member - Dark Knight Financial and Equipment LLC, Colorado Springs, CO. Organized to track business expenses. Start date: 1/1/21, approx. 1.5 hrs/mo, none during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Thomas Waugh'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
April 18, 2007 - Present
SPC
Office #1: 1425 N. Union Blvd, Colorado Springs, CO 80909RIA
CRD#: 110692
COLORADO SPRINGS, CO
Current
May 2, 2005 - Present
PARKLAND SECURITIES, LLC
Office #1: 1425 N. Union Blvd, Colorado Springs, CO 80909BD
CRD#: 115368
Colorado Springs, CO
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
Alaska(5/5/2021)
RR
Arizona(5/5/2021)
RR
Colorado(5/2/2005)
IAR
Colorado(4/18/2007)
RR
Hawaii(8/22/2025)
IAR
Texas(1/21/2021)
RR
Texas(5/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/13/2013
Corporate Securities Limited Representative ExaminationGeneral 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.
Company Information
SPC
CRD#: 110692Colorado Springs, CO 80909TRUST BUT VERIFY
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