WS
Walter P. Shoczolek
SPC
Rio Grande, NJ 08242
Some features on this profile are disabled
CRD#: 5417294
WS
Professional summary
Walter Paul Shoczolek JR, who also goes by Walter Shoczolek, is a registered financial advisor currently at SPC located in Rio Grande, New Jersey and SIGMA FINANCIAL CORPORATION located in Rio Grande, New Jersey.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Walter has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walter Shoczolek
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. 9700 Pacific Ave Realty Group, LLC, 9700 Pacific Avenue, Ste 102, Wildwood Crest, NJ 08260. Rental Property Owner/Management. One of 3 Partners. Start date: 6/20/2016, approx. 2hrs/mo. Duties include management / decision making. INV REL: N 2. PG&S Realty Group, LLC, 9700 Pacific Ave, Ste 102, Wildwood Crest, NJ 08260. Rental Property Owner/Management. 50/50 ownership. Start date: 10/2/2008, approx. 2hrs/mo. General management duties. INV REL: N 3. PG&S Capital Management, LLC, 9700 Pacific Ave, Ste 102, Wildwood Crest, NJ 08260. Entity formed for bill paying and operational purposes. One of 3 partners. Start date: 10/1/2007, less than 5 hrs/mo. INV REL: N 4. Pierce Guyon & Shoczolek, PA, 9700 Pacific Ave., Ste 102, Wildwood Crest, NJ 08260. Tax Preparation/Accounting. Corporate Secretary. Start date: 1/1/1982, approx. 160hrs/mo, 120hrs during mkt hrs. INV REL: N 5. PGS Accountants and Advisors, LLC, 9700 Pacific Ave., Ste. 102, Wildwood Crest, NJ 08260. Partner/General Partner - Accounting. Duties: Accounting and tax returns / Review & Supervision. Start date: 6/15/2016, Approx. 10 hrs/mo, all during mkt hrs. INV REL: N 6. PG&S Payroll Services LLC, 9700 Pacific Ave., Ste. 102, Wildwood Crest, NJ 08260. Duties: Billing Start date: 1/1/2009, approx. 3hrs/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Walter Paul Shoczolek 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
September 20, 2023 - Present
SPC
Office #1: 1046 Rt 47 South Unit B, Rio Grande, NJ 08242RIA
CRD#: 110692
Rio Grande, NJ
Current
September 20, 2023 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1046 Rt 47 South Unit B, Rio Grande, NJ 08242BD
CRD#: 14303
Rio Grande, NJ
Past
October 23, 2008 - October 2, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WILDWOOD CREST, NJ
Past
October 24, 2007 - October 2, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WILDWOOD CREST, NJ
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
Delaware(9/20/2023)
RR
Florida(9/20/2023)
RR
Georgia(9/20/2023)
RR
Maryland(9/20/2023)
RR
Minnesota(9/20/2023)
RR
New Jersey(9/20/2023)
IAR
New Jersey(9/20/2023)
RR
North Carolina(10/3/2023)
RR
Pennsylvania(9/20/2023)
RR
South Carolina(9/20/2023)
RR
Virginia(9/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
