RL
Richard R. Liess
SPC
Overland Park, KS 66210
Some features on this profile are disabled
CRD#: 5515353
RL
Professional summary
Richard Rex Liess, AIF®, CFP® is a registered financial advisor currently at SPC located in Overland Park, Kansas and SIGMA FINANCIAL CORPORATION located in Overland Park, Kansas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Richard 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
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.
M&R FINANCIAL GROUP: AS AN INDEPENDENTLY LICENSED INSURANCE AGENT I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. Also offer securities products.
HIGHER ROADS, ALLIANCE FINANCE: Assist with preparation of tax returns for submission, 80-100 HRS/YEAR.
LIESS BUSINESS SERVICES, NON-INVESTMENT RELATED, SMALL BUSINESS ACCOUNTING & TAX, POSITION - CONSULTANT. 40 HRS DEVOTED/MO, LESS THAN 20 HRS/MO DURING SECURITIES TRADING HOURS.
LIESS RENTALS - I OWN SEVERAL COMMERCIAL MOONWALKS THAT ARE MANAGED AND LEASED BY A COMMERCIAL ENTERTAINMENT COMPANY. .5 - 1 HR DEVOTED/MO, 0 HOURS/MO DURING SECURITES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Rex Liess'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®
Experience
Current
January 12, 2011 - Present
SPC
Office #1: 11020 King Street Suite 250, Overland Park, KS 66210Office #2: 4501 North 22nd Street Suite 190, Phoenix, AZ 85016RIA
CRD#: 110692
Overland Park, KS
Current
September 3, 2010 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 11020 King Street Suite 250, Overland Park, KS 66210Office #2: 4501 North 22nd Street Suite 190, Phoenix, AZ 85016BD
CRD#: 14303
Overland Park, KS
Past
August 7, 2009 - September 2, 2010
FAS WEALTH PARTNERS, INC.
RIA
CRD#: 109796
LEAWOOD, KS
Past
June 23, 2008 - September 2, 2010
FAS CORP.
BD
CRD#: 43536
LEAWOOD, KS
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
Alabama(6/8/2022)
RR
Arizona(10/17/2018)
IAR
Arizona(4/26/2019)
RR
California(7/24/2023)
RR
District of Columbia(2/15/2024)
RR
Florida(4/13/2012)
RR
Georgia(6/8/2022)
RR
Iowa(4/13/2012)
RR
Kansas(9/3/2010)
IAR
Kansas(1/12/2011)
RR
Michigan(3/25/2021)
RR
Missouri(9/3/2010)
RR
North Carolina(6/8/2022)
RR
Ohio(6/9/2022)
RR
Oklahoma(4/22/2024)
RR
Texas(3/23/2012)
IAR
Texas(4/28/2015)
RR
Utah(5/29/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
