Joseph J. Lezotte
SPC
NOVI, MI 48375
Some features on this profile are disabled
CRD#: 5056203
Professional summary
Joseph John Lezotte, CFP® is a registered financial advisor currently at SPC located in Novi, Michigan and SIGMA FINANCIAL CORPORATION located in Novi, Michigan.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 2 firms and has passed the Series 65, 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. L&P MANAGEMENT COMPANY - 50% OWNER: FOR LEASING AND BUILDING EXPENSES. ADDITIONAL REVENUE AND SERVICES MAY INCLUDE CONSULTING AND INSURANCE SALES. 2. BLUE CROSS BLUE SHIELD AGENT. 3. dba - River Oaks Wealth Advisors LLC, Novi, MI. Offering financial services. Start date: 3/1/16, approx. 40 hrs/wk. 50% owner, partnering with W. Powrozek. 4. Board member - GPA Gift of Hearing, Grosse Pointe Woods, MI. The organization gives hearing aids to people in need. Duties include reviewing applications for hearing aids, raising awareness for organization and help with fundraising ideas. Start date: 8/1/21, approx. 1 hr/mo. No set term length, not investment related. 5. M&M Benefits Group - Coordinated sale of health insurance products as well as other voluntary individual and group insurance products to businesses. Start date: 1/1/23, approx. 10 hrs/mo with 2% during mkt hrs. 6. Serve as trustee for my deceased father's trust. General trustee duties and disbursement of assets as instructed by trust. Start date: 8/4/25, approx. 2-5 hrs/mo. None during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Joseph John Lezotte'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®
CFP®
Start date: 2010
Experience
Current
July 3, 2007 - Present
SPC
Office #1: 41160 Ten Mile Rd, Novi, MI 48375RIA
CRD#: 110692
NOVI, MI
Current
November 2, 2005 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 41160 Ten Mile Rd, Novi, MI 48375BD
CRD#: 14303
Novi, 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".
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(1/21/2014)
RR
California(2/22/2016)
RR
Florida(4/15/2008)
IAR
Florida(6/28/2010)
RR
Georgia(8/12/2016)
RR
Illinois(1/22/2014)
IAR
Maine(11/15/2024)
RR
Michigan(12/13/2005)
IAR
Michigan(1/28/2010)
RR
Nevada(7/22/2025)
RR
North Carolina(9/20/2024)
RR
Ohio(1/21/2014)
IAR
South Carolina(9/17/2018)
RR
South Carolina(10/18/2018)
RR
Texas(3/2/2017)
IAR
Texas(3/2/2017)
RR
Virginia(1/3/2023)
RR
Washington(5/1/2025)
RR
Wisconsin(7/13/2023)
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.
