Brannon Hertel

SPC

Englewood, CO 80112

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CRD#: 5295924

Professional summary

Brannon Hertel, AIF® is a registered financial advisor currently at SPC located in Englewood, Colorado and PARKLAND SECURITIES, LLC located in Englewood, Colorado.

Brannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brannon has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 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. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. 2. Sole member/owner - Integrated Financial Design, LLC, Englewood, CO. Pass through entity. Start date: 8/10/17. 3. dba - Hertel Financial, Englewood, CO, offering financial planning services. Start date: 2/25/22, approx. 160 hrs/mo all during mkt hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brannon Hertel's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 23, 2017 - Present

SPC

Office #1: 16 Inverness Place E D-200, Englewood, CO 80112

RIA

CRD#: 110692

Englewood, CO

Current

June 23, 2017 - Present

PARKLAND SECURITIES, LLC

Office #1: 16 Inverness Place E D-200, Englewood, CO 80112

CRD#: 115368

Englewood, CO

Past

August 16, 2016 - June 9, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

ENGLEWOOD, CO

Past

October 8, 2015 - June 9, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

ENGLEWOOD, CO

Past

March 13, 2007 - September 29, 2015

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, 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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(6/23/2017)

California
(11/5/2025)

Colorado
(6/23/2017)

IAR

Colorado
(6/23/2017)

Florida
(4/20/2018)

Illinois
(8/22/2017)

Indiana
(11/5/2025)

Iowa
(11/5/2025)

Kansas
(11/5/2025)

Michigan
(11/5/2025)

Minnesota
(11/5/2025)

Missouri
(7/14/2021)

Montana
(11/5/2025)

Nebraska
(11/5/2025)

Ohio
(10/25/2021)

South Carolina
(8/1/2019)

South Dakota
(11/5/2025)

Texas
(5/3/2018)

IAR

Texas
(8/6/2018)

Utah
(11/5/2025)

Virginia
(11/5/2025)

Washington
(11/5/2025)

Wisconsin
(2/6/2023)

Wyoming
(6/23/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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

Brannon Hertel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brannon Hertel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKLAND SECURITIES, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

TRANSAMERICA CAPITAL, LLC

Primary Firm SEC Registration

SPC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2015

Series 6

Date: 3/12/2007

FINRA

Nasdaq Stock Market

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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