JK
John A. Kruse
SPC
HAMILTON, OH 45011
Some features on this profile are disabled
CRD#: 5043576
JK
Professional summary
John Allen Kruse JR., who also goes by John A Kruse, John Kruse, is a registered financial advisor currently at SPC located in Hamilton, Ohio and SIGMA FINANCIAL CORPORATION located in Hamilton, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John A Kruse | John Kruse
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. John A Kruse, Jr, Esq Attorney At Law, Non-Inv. Rel. DBA: J A Kruse Law Firm LLC, 35 North "D" Street, All Points Title Bldg., Hamilton OH 45013, Attorney offering probate, estate, trust, tax and business legal services to individuals and small business owners. Managing Member/CEO, 6/05-Pres., 100 Hrs/Mo (95% of my time), Between 9 AM - 4 PM. 2. Poll worker (judge) for State of OH precinct (Hanover 7) for primary and general elections. Elections occur at various times during the year according to state and national law. Start date: 1/1/10. Approx. 15 hrs. on election days. Not investment related. 3. DBA - Red Oak Asset Management, Hamilton, OH. Provides investment advice and services through Sigma Financial Corporation as a sole proprietor. Start date: 12/15/21, approx. 36-40 hrs/mo with 50% during mkt hrs. INV REL: Y 4. Owner of Red Oak Asset Management, Inc. and Red Oak Asset Management, LLC. Both registered in the State of OH on 1/5/09 but not currently used. Reserved names for potential future use. INV REL: N 5. Notary public - State of Ohio, Butler County. Provide notary services on an as-needed basis. Commencing date: 7/26/05.
CRS (Client Relationship Summary) - RIA
Click below to view John Allen Kruse JR.'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
January 2, 2009 - Present
SPC
Office #1: 20 High Street Suite 128, Hamilton, OH 45011RIA
CRD#: 110692
HAMILTON, OH
Current
January 2, 2009 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 35 North D Street All Points Title Building, Hamilton, OH 45013BD
CRD#: 14303
HAMILTON, OH
Past
March 1, 2006 - December 31, 2008
EQUITY SERVICES, INC.
RIA
CRD#: 265
CINCINNATI, OH
Past
January 23, 2006 - December 31, 2008
EQUITY SERVICES, INC.
BD
CRD#: 265
CINCINNATI, 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
IAR
Indiana(8/30/2012)
RR
Indiana(5/3/2016)
RR
Kentucky(1/2/2009)
RR
Ohio(1/2/2009)
IAR
Ohio(1/2/2009)
Exams
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
SPC
CRD#: 110692Hamilton, OH 45011TRUST BUT VERIFY
Monitor John Kruse
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
