CJ
Charles R. Jaquess
SPC
Allen, TX 75002
Some features on this profile are disabled
CRD#: 6054471
CJ
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.
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 - 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
CRS (Client Relationship Summary) - RIA
Click below to view Charles Ryan Jaquess'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 2, 2016 - Present
SPC
Office #1: 100 Allentown Pkwy, Allen, TX 75002RIA
CRD#: 110692
Allen, TX
Current
February 2, 2016 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 100 Allentown Pkwy Suite 220, Allen, TX 75002BD
CRD#: 14303
Allen, TX
Current
February 1, 2024 - Present
PARKLAND SECURITIES, LLC
Office #1: 100 Allentown Pkwy, Allen, TX 75002BD
CRD#: 115368
Allen, TX
Past
September 4, 2012 - February 3, 2016
EDWARD JONES
RIA
CRD#: 250
PLANO, TX
Past
June 1, 2012 - February 3, 2016
EDWARD JONES
BD
CRD#: 250
PLANO, TX
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
Arkansas(9/25/2025)
RR
Colorado(9/25/2025)
RR
New Mexico(3/21/2024)
IAR
New Mexico(3/22/2024)
IAR
North Carolina(8/23/2024)
RR
Ohio(9/25/2025)
RR
Oklahoma(2/8/2024)
RR
Oregon(12/2/2024)
RR
Pennsylvania(9/25/2025)
RR
Texas(2/2/2016)
IAR
Texas(2/2/2016)
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.
