DD
Diego De Los Santos
SPC
Lafayete, IN 47904
Some features on this profile are disabled
CRD#: 6300722
DD
Professional summary
Diego De Los Santos is a registered financial advisor currently at SPC located in Lafayete, Indiana and PARKLAND SECURITIES, LLC located in Lafayette, Indiana.
Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Diego has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) 11/18/2021 - LIDC Hospitality Inc DBA Lupes Mexican Eatery - Business Owner - Mexican Eatery - Non-Inv Rel - San Juan Capistrano, CA - Start: 02/2021 - 1 Hr/Mth 2) 01/20/2022 - Pegasus & Associates Insurance Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/19/2022 - 25 Hours Per Month/20 Hours During Securities Trading 3) 08/23/2023 - DE LOS SANTOS LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 12/02/2022 - 3 Hours Per Month/ 1 Hor During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Diego De Los Santos'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
September 24, 2025 - Present
SPC
Office #1: 602 N Earl Ave Suite 6, Lafayete, IN 47904RIA
CRD#: 110692
Lafayete, IN
Current
September 24, 2025 - Present
PARKLAND SECURITIES, LLC
Office #1: 602 N. Earl Ave Suite 6, Lafayette, IN 47904BD
CRD#: 115368
Lafayette, IN
Past
November 18, 2021 - September 26, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAFAYETTE, IN
Past
November 18, 2021 - September 26, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
LAFAYETTE, IN
Past
March 23, 2020 - November 30, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Chino Hills, CA
Past
March 20, 2020 - November 30, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Chino Hills, CA
Past
November 29, 2017 - April 13, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST COVINA, CA
Past
November 29, 2017 - March 24, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST COVINA, CA
Past
January 22, 2016 - January 29, 2020
TRILOGY CAPITAL, INC.
RIA
CRD#: 281597
West Covina, CA
Past
March 3, 2015 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WEST COVINA, CA
Past
April 3, 2014 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WEST COVINA, CA
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
Arizona(9/24/2025)
RR
California(9/24/2025)
RR
Florida(9/24/2025)
RR
Indiana(9/24/2025)
IAR
Indiana(9/24/2025)
RR
Iowa(9/24/2025)
RR
Kentucky(9/24/2025)
RR
Massachusetts(9/24/2025)
RR
Michigan(9/24/2025)
RR
Missouri(9/24/2025)
RR
Nebraska(9/24/2025)
RR
Ohio(9/24/2025)
RR
Oregon(9/24/2025)
RR
Rhode Island(9/24/2025)
RR
Texas(9/24/2025)
IAR
Texas(9/24/2025)
RR
Virginia(9/24/2025)
RR
Washington(9/24/2025)
RR
West Virginia(9/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
