MT
Mark W. Thompson
SPC
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 840935
MT
Professional summary
Mark William Thompson, AIF® is a registered financial advisor currently at SPC located in Greenwood Village, Colorado and PARKLAND SECURITIES, LLC located in Greenwood Village, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Mark has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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. Owner - Wealth Partners, Inc., Greenwood Village, CO. DBA used for my financial services practice. Start date: 12/24/03. INV REL: Y 2. I HOLD VARIOUS TRADITIONAL APPOINTMENTS WITH VARIOUS TRADITIONAL COMPANIES 3. Owner - Wealth Partners Insurance Inc., Colorado Springs, CO. Sale of non-variable life insurance (Term and Indexed Universal Life) through own insurance business entity. Start date: 1/31/19, approx. 40 hrs/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Mark William Thompson'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
May 17, 2004 - Present
SPC
Office #1: 6312 S. Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111RIA
CRD#: 110692
GREENWOOD VILLAGE, CO
Current
January 5, 2004 - Present
PARKLAND SECURITIES, LLC
Office #1: 6312 S Fiddlers Green Circle Suite 300e, Greenwood Village, CO 80111Office #2: 6312 S. Fiddlers Green Circle Suite 110e, Greenwood Village, CO 80111BD
CRD#: 115368
Greenwood Village, CO
Past
December 5, 2001 - December 15, 2003
FORTA FINANCIAL GROUP, INC.
BD
CRD#: 28784
AUSTIN, TX
Past
August 3, 2000 - December 14, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 24, 1997 - August 15, 2000
KFS BD, INC.
BD
CRD#: 490
OMAHA, NE
Past
February 1, 1994 - September 2, 1997
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
September 30, 1991 - February 1, 1994
COMPREHENSIVE CAPITAL CORPORATION
BD
CRD#: 6215
GREAT NECK, NY
Past
January 22, 1991 - September 30, 1991
G. K. SCOTT & CO., INC.
BD
CRD#: 3305
PLAINVIEW, NY
Past
August 30, 1989 - January 4, 1991
VANGUARD CAPITAL
BD
CRD#: 22081
DEL MAR, CA
Past
October 7, 1987 - July 18, 1989
HUBERMAN SECURITIES CORP.
BD
CRD#: 10133
Past
January 7, 1985 - September 28, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
Past
April 30, 1984 - December 28, 1984
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
Past
July 26, 1977 - April 27, 1984
FIRST FINANCIAL SECURITIES, INC.
BD
CRD#: 6758
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(9/21/2017)
RR
Colorado(1/28/2004)
IAR
Colorado(5/17/2004)
RR
Florida(3/20/2015)
RR
Minnesota(10/10/2025)
RR
Missouri(1/10/2024)
RR
North Carolina(2/5/2004)
RR
Ohio(1/30/2025)
RR
Oregon(4/13/2025)
RR
Pennsylvania(1/6/2025)
RR
South Carolina(9/23/2019)
RR
Tennessee(1/6/2025)
IAR
Texas(1/26/2011)
RR
Texas(7/19/2022)
RR
Utah(1/6/2025)
RR
Virginia(2/3/2004)
RR
Washington(3/20/2023)
RR
Wisconsin(10/8/2025)
RR
Wyoming(9/5/2019)
Exams
State Security Law Exam
State Security Law 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
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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.
