DD
David M. Davis
SPC
Jackson, MI
Some features on this profile are disabled
CRD#: 6115702
DD
Professional summary
David Michael Davis II, who also goes by David Michael Davis, is a registered financial advisor currently at SPC located in Jackson, Michigan and SIGMA FINANCIAL CORPORATION located in Jackson, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Michael Davis
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.
DBA - Full Circle Financial Planning, Lansing, MI - offering investment and insurance advice as well as financial planning. Start date: 8/2/23, approx. 40 hrs/mo. INV REL: Y USA Hockey - Hockey referee officiating adult and minor hockey games. Start date: 8/23/23, approx. 20 hrs/wk, none during mkt hrs. INV REL: N Jackson Area Hockey Association - Growth and Tournament Director. Start date: 10/26/23, approx. 2 hrs/mo. INV REL: N Sale of non-variable insurance products as a Health Insurance Broker. Start date: 10/26/23, approx. 10 hrs/mo. INV REL: Y Co-owner and manager, with spouse, of Davis Gardner LLC. Formed for the rental of travel trailer. Start date: 7/30/24, approx. 2-3/mos, 1 hr during trading hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Davis II'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 30, 2023 - Present
SPC
RIA
CRD#: 110692
Jackson, MI
Current
May 26, 2023 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Jackson, MI
Past
July 1, 2016 - May 30, 2023
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Howell, MI
Past
July 1, 2016 - May 30, 2023
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Howell, MI
Past
July 13, 2015 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
Okemos, MI
Past
July 8, 2015 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
Okemos, MI
Past
January 31, 2013 - June 24, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Lansing, MI
Past
January 28, 2013 - June 24, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Lansing, MI
Past
December 5, 2012 - February 14, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
LANSING, 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
Michigan(5/26/2023)
IAR
Michigan(5/30/2023)
RR
Virginia(7/18/2024)
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.
