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CJ

Charles Ryan Jaquess

AIF®

SPC

Allen, TX

·CRD# 6054471·14 years experience

Professional Summary

Charles Ryan Jaquess, AIF® is a registered financial advisor currently at SPC located in Allen, Texas and SIGMA FINANCIAL CORPORATION located in Allen, Texas. Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Charles has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

AIF®

Accredited Investment Fiduciary

Years of Experience

14 years in the financial services industry

Current & Past Employments

SPC·CRD# 110692

RIA

100 Allentown Pkwy, Allen, TX 75002

February 2, 2016 - Present

SIGMA FINANCIAL CORPORATION·CRD# 14303

BD

100 Allentown Pkwy Suite 220, Allen, TX 75002

February 2, 2016 - Present

PARKLAND SECURITIES, LLC·CRD# 115368

BD

1. 100 Allentown Pkwy, Allen, TX 750022. 4410 N. Midkiff Suite D-210, Midland, TX 79705

February 1, 2024 - Present

EDWARD JONES·CRD# 250

RIA

Plano, TX

September 4, 2012 - February 3, 2016

EDWARD JONES·CRD# 250

BD

Plano, TX

June 1, 2012 - February 3, 2016

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Current Firm

SP

SPC

PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP

CRD#: 110692 / SEC#: 801-20404

RIA

Registered Investment Advisory firm - SEC (1/11/1984 Approved)

Alaska

Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)

Arizona

Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)

California

Registered Investment Advisory firm - California (1/17/2002 Cancelled)

Colorado

Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)

Delaware

Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)

Hawaii

Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)

Montana

Registered Investment Advisory firm - Montana (2/12/2002 Terminated)

New Hampshire

Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)

New Mexico

Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)

New York

Registered Investment Advisory firm - New York (1/17/2002 Cancelled)

Rhode Island

Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)

Tennessee

Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)

Utah

Registered Investment Advisory firm - Utah (1/17/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103

Phone Number

(734) 663-1611

# of Employees

471

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPC FORM ADV BROCHURE (5/7/2026)

SPC FORM ADV WRAP FEE PROGRAM BROCHURE (3/24/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,433

AUM (Assets Under Management)

$6,102,465,817

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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 - Southfork Wealth Advisory LLC, a sole member entity located in Allen, TX. Offering investment products and planning services through Sigma Financial and SPC. Start date: 4/15/21, approx. 10-12 hrs/mo. INV REL: Y 2. As an independently licensed insurance agent, I am appointed with various companies. 3. Insurance sales - The Brokerage Inc., 233 W Main St., Lewisville, TX. Sale of life insurance products. Start date: 10/1/17, approx. 3-4 hrs/mo with the majority of time after mkt hrs. 4. Candace Noble Campaign for Texas House of Representatives, District 89. Campaign treasurer - administrative and advisory role with no access to funds. Start date: 9/1/19, approx. 10 hrs/mo, none during trading hours. Not investment related. 5. Serve as trustee for my deceased grandparents' trust. General trust duties including annual partial distributions to grandparents' 3 children. Start date: 3/29/23, approx. 3-5 hrs/mo, approx. 1 hr/mo during mkt hrs. INV REL: N

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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 - SEC (1/11/1984 Approved)

Alaska

Registered Investment Advisory firm - Alaska (2/13/2002 Cancelled)

Arizona

Registered Investment Advisory firm - Arizona (2/14/2002 Terminated)

California

Registered Investment Advisory firm - California (1/17/2002 Cancelled)

Colorado

Registered Investment Advisory firm - Colorado (2/14/2002 Cancelled)

Delaware

Registered Investment Advisory firm - Delaware (2/14/2002 Terminated)

Hawaii

Registered Investment Advisory firm - Hawaii (3/19/2002 Terminated)

Montana

Registered Investment Advisory firm - Montana (2/12/2002 Terminated)

New Hampshire

Registered Investment Advisory firm - New Hampshire (2/14/2002 Terminated)

New Mexico

Registered Investment Advisory firm - New Mexico (2/14/2002 Terminated)

New York

Registered Investment Advisory firm - New York (1/17/2002 Cancelled)

Rhode Island

Registered Investment Advisory firm - Rhode Island (3/7/2002 Terminated)

Tennessee

Registered Investment Advisory firm - Tennessee (2/14/2002 Terminated)

Utah

Registered Investment Advisory firm - Utah (1/17/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - Wisconsin (1/30/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arkansas
(9/25/2025)

RR

New Mexico
(3/21/2024)

RR

Ohio
(9/25/2025)

RR

Oklahoma
(2/8/2024)

RR

Pennsylvania
(9/25/2025)

RR

Texas
(2/2/2016)

IAR

Texas
(2/2/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2012About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2012About the Series 7 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Charles Ryan Jaquess's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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CJ

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