SS
Samuel R. Stroud
SPC
Erie, PA 16501
Some features on this profile are disabled
CRD#: 6530577
SS
Professional summary
Samuel Robert Stroud is a registered financial advisor currently at SPC located in Erie, Pennsylvania and SIGMA FINANCIAL CORPORATION located in Erie, Pennsylvania.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Samuel 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. Stroud Financial Services -Tax Preparation, 1001 State St STE 1400 Erie PA 16501, Tax preparer, 2/1/2017, 5 hours per month, 1 during trading hours. Not investment related. 2. Licensed Insurance agent offering insurance through various companies. 3. Penn State Behrend Hockey Club, Not investment related, 4701 College Drive, Erie, PA 16563, Hockey Coach/General Manager. As Coach, I coach during games and practices; as GM, I am in charge of scheduling, budgeting, and all administrative work. Start date: 8/15/15, approx. 25 hrs/mo, zero during trading hours. No access to funds, not investment related. 4. DBA - Stroud Wealth Management, Erie, PA. Offering financial services. Start date: 4/7/22, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Robert Stroud'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
November 5, 2021 - Present
SPC
Office #1: 1001 State Ste Ste. 1400, Erie, PA 16501RIA
CRD#: 110692
Erie, PA
Current
November 5, 2021 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1001 State St. Suite 1400, Erie, PA 16501BD
CRD#: 14303
Erie, PA
Past
April 24, 2020 - November 10, 2021
INFINITY FINANCIAL SERVICES ADVISORY
RIA
CRD#: 304981
ERIE, PA
Past
February 20, 2018 - December 31, 2020
INFINITY FINANCIAL SERVICES
RIA
CRD#: 144302
Erie, PA
Past
July 25, 2017 - November 10, 2021
INFINITY FINANCIAL SERVICES
BD
CRD#: 144302
Erie, PA
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
Florida(1/3/2022)
RR
Ohio(3/24/2022)
RR
Pennsylvania(11/5/2021)
IAR
Pennsylvania(11/5/2021)
RR
South Carolina(2/15/2022)
IAR
Texas(11/5/2021)
RR
Texas(3/21/2022)
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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Company Information
SPC
CRD#: 110692Erie, PA 16501TRUST BUT VERIFY
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