LR
Lori L. Rothenberger
SPC
Yankton, SD 57078
Some features on this profile are disabled
CRD#: 5446904
LR
Professional summary
Lori Lynne Rothenberger, who also goes by Lori Lynne Huntley, is a registered financial advisor currently at SPC located in Yankton, South Dakota and PARKLAND SECURITIES, LLC located in Yankton, South Dakota.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Lori has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Lynne Huntley
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.
Ascend Financial, Inc; Sioux Falls, SD; investment related; Insurance Agent since 07/2024; sells insurance products; 10 hrs/mo Board member / Treasurer - Large Munsterlander Association of America, Prior Lake, MN. Maintain financial accounting for association and provide reports to the Board. No access to funds. Start date: 8/12/25, approx. 3 hrs/mo, none during trading hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Lori Lynne Rothenberger'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
August 19, 2025 - Present
SPC
Office #1: 1101 Broadway Suite 108-4, Yankton, SD 57078RIA
CRD#: 110692
Yankton, SD
Current
August 1, 2025 - Present
PARKLAND SECURITIES, LLC
Office #1: 1101 Broadway Suite 108-4, Yankton, SD 57078BD
CRD#: 115368
Yankton, SD
Past
May 29, 2025 - July 31, 2025
JUST WEALTH MANAGEMENT, LLC
RIA
CRD#: 333447
SIOUX FALLS, SD
Past
July 22, 2024 - August 4, 2025
VARIABLE INVESTMENT ASSOCIATES, INC.
BD
CRD#: 44412
TEA, SD
Past
February 26, 2013 - July 26, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
YANKTON, SD
Past
February 19, 2013 - July 26, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
YANKTON, SD
Past
March 10, 2010 - February 20, 2013
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
YANKTON, SD
Past
February 8, 2010 - February 20, 2013
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
YANKTON, SD
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
South Dakota(8/1/2025)
IAR
South Dakota(8/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/22/2024
General Securities Representative ExaminationGeneral 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.
