RE
Richard Esposito
SPC
East Haven, CT
Some features on this profile are disabled
CRD#: 5996142
RE
Professional summary
Richard Esposito, who also goes by Rich Esposito, is a registered financial advisor currently at SPC located in East Haven, Connecticut and PARKLAND SECURITIES, LLC located in East Haven, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Esposito
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. Sale of non-variable insurance products including life, health and fixed annuities, through various insurance providers. Annuity sales conducted through firm-approved FMOs. Start date: 9/5/25, approx. 2 hrs/mo. INV REL: Y 2. Gift Officer - Assumption University, Worcester, MA. Duties include fundraising by meeting with alumni and donors to secure charitable gifts for the University. Start date: 9/5/25, approx. 60 hrs/mo, none during mkt hrs. INV REL: N 3. Elected Official - Board of Finance - East Haven, CT. Responsibilities include authorizing department transfer requests and advise on budgetary recommendations. No access to funds in this role. Start date: 11/18/23. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Richard Esposito'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
May 29, 2025 - Present
SPC
RIA
CRD#: 110692
East Haven, CT
Current
May 22, 2025 - Present
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
East Haven, CT
Past
February 15, 2022 - June 15, 2022
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WINDSOR, CT
Past
December 23, 2021 - June 15, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WINDSOR, CT
Past
January 29, 2020 - November 24, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Rocky Hill, CT
Past
January 29, 2020 - November 24, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
ROCKY HILL, CT
Past
March 6, 2015 - January 30, 2020
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FARMINGTON, CT
Past
January 13, 2015 - January 30, 2020
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FARMINGTON, CT
Past
April 7, 2014 - October 10, 2014
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
WESTPORT, CT
Past
May 21, 2012 - August 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GLASTONBURY, CT
Past
February 3, 2012 - August 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GLASTONBURY, CT
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
Connecticut(5/23/2025)
IAR
Connecticut(5/29/2025)
RR
Michigan(6/6/2025)
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.
