MS
Mark B. Sumner
SPC
Mooresville, NC 28117
Some features on this profile are disabled
CRD#: 5563534
MS
Professional summary
Mark Brendan Sumner, who also goes by Mark Bendan Sumner, Mark Sumner, is a registered financial advisor currently at SPC located in Mooresville, North Carolina and PARKLAND SECURITIES, LLC located in Mooresville, North Carolina.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mark has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Bendan Sumner | Mark Sumner
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 - Sumner Wealth Management, Inc. - 294 W Plaza Dr, Ste I-9, Mooresville, NC 28117 - for securities, life/whole life insurance, Medicare Supplement, LTC, disability insurance - NC Licensed Agent - S Corp - Start date: 10/2013; Approx. 100 hrs/mo during trading hrs.
2. As a licensed insurance agent, I am appointed with various insurance companies. Approx. 5 hrs/mo, 1 hr during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Brendan Sumner'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 21, 2020 - Present
SPC
Office #1: 294 W. Plaza Drive Suite I-9, Mooresville, NC 28117RIA
CRD#: 110692
Mooresville, NC
Current
September 15, 2020 - Present
PARKLAND SECURITIES, LLC
Office #1: 294 W. Plaza Dr. Ste. I 9, Mooresville, NC 28117BD
CRD#: 115368
Mooresville, NC
Past
March 4, 2013 - September 14, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
MOORESVILLE, NC
Past
March 4, 2013 - September 14, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
MOORESVILLE, NC
Past
September 14, 2011 - February 22, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
MOORESVILLE, NC
Past
September 14, 2011 - February 22, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MOORESVILLE, NC
Past
September 27, 2010 - September 14, 2011
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
CHARLOTTE, NC
Past
September 20, 2010 - September 14, 2011
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
CHARLOTTE, NC
Past
April 6, 2010 - September 27, 2010
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MOORESVILLE, NC
Past
January 12, 2010 - September 27, 2010
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MOORESVILLE, NC
Past
February 17, 2009 - January 27, 2010
ALLEGIANT FINANCIAL ADVISORS, LLC
RIA
CRD#: 141047
MIAMI BEACH, FL
Past
December 3, 2008 - January 27, 2010
ALLEGIANT SECURITIES L.L.C.
BD
CRD#: 133912
MIAMI, FL
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
North Carolina(9/15/2020)
IAR
North Carolina(9/21/2020)
RR
South Carolina(9/15/2020)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
SPC
CRD#: 110692Mooresville, NC 28117TRUST BUT VERIFY
Monitor Mark Sumner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
