MP
Mark F. Pauwels
SPC
St. Clair, MI 48079
Some features on this profile are disabled
CRD#: 5797186
MP
Professional summary
Mark Frank Pauwels Jr., who also goes by Mark Frank Pauwels Jr., Mark Frank Pauwels, is a registered financial advisor currently at SPC located in St. Clair, Michigan and SIGMA FINANCIAL CORPORATION located in New Baltimore, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mark has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Frank Pauwels Jr. | Mark Frank Pauwels
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.
AS A LICENSED INSURANCE AGENT, I AM CURRENTLY APPOINTED WITH VARIOUS INSURANCE COMPANIES. dba - Bay Pointe Financial Management, St. Clair, MI. Offering financial services. Start date: 2/1/17, approx. 160 hrs/mo, all during market hours. INV REL: Y Co-owner - Bay Pointe Property Holdings, LLC, St. Clair, MI. Established to purchase commercial building. Also receives rental income from office space in building. Start date: 5/28/24, approx. 1 hr/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Mark Frank Pauwels 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
December 16, 2016 - Present
SPC
Office #1: 300 S. Riverside Ave. Suite 201, St. Clair, MI 48079RIA
CRD#: 110692
St. Clair, MI
Current
December 16, 2016 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 36631 Green St., New Baltimore, MI 48047Office #2: 300 S. Riverside Ave. Suite 201, St. Clair, MI 48079BD
CRD#: 14303
New Baltimore, MI
Past
April 28, 2014 - December 16, 2016
WADDELL & REED
RIA
CRD#: 866
BIRMINGHAM, MI
Past
April 25, 2014 - December 16, 2016
WADDELL & REED
BD
CRD#: 866
BIRMINGHAM, MI
Past
July 5, 2013 - March 13, 2014
OSAIC SERVICES, INC.
RIA
CRD#: 133763
STERLING HEIGHTS, MI
Past
July 3, 2013 - March 13, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
STERLING HEIGHTS, MI
Past
February 2, 2011 - June 11, 2013
HANTZ FINANCIAL SERVICES, INC.
RIA
CRD#: 46047
ROMEO, MI
Past
August 12, 2010 - June 11, 2013
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
ROMEO, 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
Florida(7/8/2022)
RR
Michigan(12/16/2016)
IAR
Michigan(12/16/2016)
IAR
Texas(3/8/2021)
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
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.
