RM
Richard D. Martin
SPC
Fridley, MN 55432
Some features on this profile are disabled
CRD#: 6879098
RM
Professional summary
Richard David Martin, who also goes by Ricky David Martin, is a registered financial advisor currently at SPC located in Fridley, Minnesota and PARKLAND SECURITIES, LLC located in Fridley, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 6 firms and has passed the Series 66, Series 34, Series 3, SIE, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricky David Martin
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. Martin Financial Professional Corporation DBA Financial LifeLab, Fridley, MN. Offering financial services through Parkland Securities LLC and SPC. Start date: 7/1/25, approx. 180 hrs/mo, all during mkt hrs. INV REL: Y 2. Investment Advisor Representative, Sigma Planning Corporation. INV REL: Y 3. Provide notary services on an as-needed basis. Commission began 12/4/2022. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Richard David Martin'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 9, 2023 - Present
SPC
Office #1: 7362 University Ave Suite 202, Fridley, MN 55432RIA
CRD#: 110692
Fridley, MN
Current
May 9, 2023 - Present
PARKLAND SECURITIES, LLC
Office #1: 7362 University Ave Ne Ste 202, Fridley, MN 55432BD
CRD#: 115368
Fridley, MN
Past
November 6, 2020 - December 5, 2022
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
SAN ANTONIO, TX
Past
November 6, 2020 - December 5, 2022
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
SAN ANTONIO, TX
Past
July 30, 2019 - March 5, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
COLORADO SPRINGS, CO
Past
July 30, 2019 - March 5, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
COLORADO SPRINGS, CO
Past
March 13, 2018 - March 8, 2019
EDWARD JONES
RIA
CRD#: 250
SARASOTA, FL
Past
January 5, 2018 - March 8, 2019
EDWARD JONES
BD
CRD#: 250
SARASOTA, FL
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
California(10/3/2025)
RR
Iowa(9/10/2025)
RR
Minnesota(5/9/2023)
IAR
Minnesota(5/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
SPC
CRD#: 110692Fridley, MN 55432TRUST BUT VERIFY
Monitor Richard Martin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
