Shane A. Thompson

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CRD#: 4982245

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shane Anthony Thompson, who also goes by Shane Anthony Thomson, was a registered financial professional .

Shane is a previously registered financial professional and started their career in finance in 2005. Shane had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shane Anthony Thomson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 3, 2017 - May 29, 2018

SPC

RIA

CRD#: 110692

Kalamazoo, MI

Past

December 21, 2016 - May 29, 2018

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Kalamazoo, MI

Past

August 21, 2014 - December 23, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

PORTAGE, MI

Past

August 19, 2014 - December 23, 2016

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

PORTAGE, MI

Past

September 30, 2010 - August 15, 2012

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

KALAMAZOO, MI

Past

May 21, 2009 - August 15, 2012

HARBOUR INVESTMENTS, INC.

CRD#: 19258

KALAMAZOO, MI

Past

April 3, 2009 - May 22, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

KALAMAZOO, MI

Past

October 11, 2007 - March 24, 2009

HARBOUR INVESTMENTS, INC.

CRD#: 19258

KALAMAZOO, MI

Past

August 9, 2005 - October 11, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

KALAMAZOO, 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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/19/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2005

General Securities Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/20/2025)

SPC FORM ADV BROCHURE (3/20/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Shane A. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

NYLIFE SECURITIES LLC

EAGLE STRATEGIES LLC

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

SIGNATOR INVESTORS, INC.

HARBOUR INVESTMENTS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2005

SIE

Date: 5/29/2018

Series 7

Date: 8/8/2005

Current Firm

SPC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPC

TRUST BUT VERIFY

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