DT
David S. Toeppe
SPC
Petersburg, MI
Some features on this profile are disabled
CRD#: 5556937
DT
Professional summary
David Stephen Toeppe, AIF® is a registered financial advisor currently at SPC located in Petersburg, Michigan and SIGMA FINANCIAL CORPORATION located in Petersburg, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 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. dba - Lotus Financial Partners, Ann Arbor, MI. Offering financial services through Sigma Financial Corp. and SPC. Start date: 2/2/24, approx. 2 hrs/mo. INV REL: Y 2. Independent agent selling insurance (including fixed and indexed annuities, term life insurance and LTC) through various approved insurance carriers. 3. IAR with Sigma Planning Corporation, a registered investment advisor. Start date: 2/23/17, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y 4. Lotus Financial Services, Monroe, MI. Preparing individual and joint tax returns. Start date: 2/1/24, approx. 10 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view David Stephen Toeppe'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
February 23, 2017 - Present
SPC
Office #2: 300 Parkland Plaza, Ann Arbor, MI 48103RIA
CRD#: 110692
Petersburg, MI
Current
February 23, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #2: 300 Parkland Plaza, Ann Arbor, MI 48103BD
CRD#: 14303
Petersburg, MI
Past
February 3, 2015 - March 3, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SALISBURG, NC
Past
February 3, 2015 - March 3, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SALISBURY, NC
Past
July 9, 2014 - February 4, 2015
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SALISBURY, NC
Past
November 25, 2009 - February 4, 2015
SPC
RIA
CRD#: 110692
SALISBURY, NC
Past
August 26, 2009 - July 9, 2014
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
December 16, 2008 - June 19, 2009
EDWARD JONES
RIA
CRD#: 250
WYANDOTTE, MI
Past
November 20, 2008 - June 19, 2009
EDWARD JONES
BD
CRD#: 250
WYANDOTTE, MI
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(1/7/2022)
RR
Alaska(12/13/2022)
RR
Arizona(11/4/2021)
RR
California(2/23/2017)
RR
Colorado(11/30/2021)
RR
Florida(4/26/2022)
RR
Georgia(2/28/2024)
RR
Illinois(11/26/2019)
RR
Indiana(7/28/2020)
RR
Kentucky(2/28/2024)
RR
Massachusetts(2/28/2024)
RR
Michigan(2/23/2017)
IAR
Michigan(2/28/2017)
RR
Minnesota(3/2/2022)
RR
Missouri(11/26/2019)
RR
New Hampshire(12/2/2022)
RR
New York(1/19/2023)
RR
North Carolina(2/23/2017)
RR
Ohio(2/23/2017)
RR
Oregon(11/29/2021)
RR
Pennsylvania(3/4/2022)
RR
South Carolina(2/23/2017)
IAR
Texas(7/9/2020)
RR
Texas(1/4/2021)
RR
Utah(11/29/2021)
RR
Virginia(3/3/2022)
RR
West Virginia(3/3/2022)
RR
Wisconsin(3/3/2022)
Exams
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.
