FB
Forest Busby
SPC
Spring, TX 77380
Some features on this profile are disabled
CRD#: 5103651
FB
Professional summary
Forest Busby JR., who also goes by Forest Busby, is a registered financial advisor currently at SPC located in Spring, Texas and SIGMA FINANCIAL CORPORATION located in Spring, Texas.
Forest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Forest has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Forest Busby
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.
CRS (Client Relationship Summary) - RIA
Click below to view Forest Busby 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
March 2, 2026 - Present
SPC
Office #1: 26310 Oak Ridge Dr Ste 33, Spring, TX 77380RIA
CRD#: 110692
Spring, TX
Current
March 2, 2026 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 26310 Oak Ridge Dr. Ste. 33, Spring, TX 77380BD
CRD#: 14303
Spring, TX
Past
October 16, 2017 - March 4, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Tomball, TX
Past
October 6, 2017 - March 4, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Tomball, TX
Past
October 1, 2012 - October 13, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
THE WOODLANDS, TX
Past
October 1, 2012 - October 13, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
THE WOODLANDS, TX
Past
September 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
THE WOODLANDS, TX
Past
September 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
THE WOODLANDS, TX
Past
February 13, 2007 - August 27, 2010
EDWARD JONES
RIA
CRD#: 250
THE WOODLANDS, TX
Past
April 25, 2006 - August 27, 2010
EDWARD JONES
BD
CRD#: 250
THE WOODLANDS, TX
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
California(3/2/2026)
RR
Georgia(3/2/2026)
RR
Illinois(3/2/2026)
RR
Indiana(3/2/2026)
RR
Ohio(3/2/2026)
RR
Texas(3/2/2026)
IAR
Texas(3/2/2026)
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.
Company Information
SPC
CRD#: 110692Spring, TX 77380TRUST BUT VERIFY
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