JM
Joseph D. Mole
SPC
Lansing, MI 48906
Some features on this profile are disabled
CRD#: 6865710
JM
Professional summary
Joseph Derrick Mole, AIF® is a registered financial advisor currently at SPC located in Lansing, Michigan and SIGMA FINANCIAL CORPORATION located in Lansing, Michigan.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 2 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. Consultant - Thredpartners, 333 S. Wabash Ave, Suite 2700, Chicago, IL 60604. This is a part-time consulting group I am an employee of. We provide consulting to non-profit organizations on issues of program, strategic planning and leadership development. Start date: 1/1/18 - I consult on 1-3 projects per year, between 4-8 hrs/mo. There is no investment-related business associated with this consulting work. 2. President and sole member of Joseph Derrick Advisors, LLC, East Lansing, MI. Established to handle business expenses and payroll for myself and support staff. Start date: 2/12/18, approx. 8 hrs/mo. 3. Board member & Secretary of GMP Labs, Chicago, IL. The organization's mission is to provide job skills and training in the construction trades for young adults in Chicago. Start date: 8/16/18, approx. 4-8 hrs/mo, less than 10% during trading hrs. Not investment related. 4. Board member & Treasurer of All of the Above Hip Hop Academy, Lansing, MI - a nonprofit 501(c)3 organization providing arts and music education in Michigan. Prepare monthly financial reports for the group, no access to funds. Start date: 7/5/18, aprpox. 4-8 hrs/mo with less than 10% during mkt hrs. Not investment related. 5. Hemlock Pine Holdings, LLC, Lansing, MI. Single member LLC formed as a real estate holding company for property that will eventually house my financial practice. Start date: 11/15/22, approx. 10 hrs/mo with 50% during mkt hrs. INV REL: N 6. Board member & Secretary of My Learning House, DeWitt, MI. Mission of the group is to use education for economic development and positive social change for people furthest from opportunities. Start date: 11/1/23, approx. 2-3 hrs/mo, none during mkt hrs for a 2 year term. INV REL: N 7. Sale of non-variable insurance products, including life, health, LTC and disability, through various insurance companies. Start date: 3/17/18, approx. 5 hrs/mo, all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Derrick Mole'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 13, 2018 - Present
SPC
Office #1: 109 E. Cesar E. Chavez Ave., Lansing, MI 48906RIA
CRD#: 110692
Lansing, MI
Current
November 22, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 109 E. Cesar E. Chavez, Lansing, MI 48906BD
CRD#: 14303
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
Arizona(3/12/2018)
RR
California(3/12/2018)
RR
Florida(3/12/2018)
RR
Georgia(3/12/2018)
RR
Illinois(3/12/2018)
RR
Indiana(6/18/2024)
RR
Michigan(2/13/2018)
IAR
Michigan(2/13/2018)
RR
North Carolina(11/9/2021)
RR
Ohio(3/12/2018)
RR
Oregon(3/12/2018)
RR
Pennsylvania(3/12/2018)
RR
Texas(3/16/2021)
IAR
Texas(6/27/2023)
RR
Washington(5/28/2021)
RR
Wisconsin(10/31/2024)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692Lansing, MI 48906TRUST BUT VERIFY
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