PM
Paul H. Moy
SPC
Mt. Prospect, IL 60056
Some features on this profile are disabled
CRD#: 850602
PM
Professional summary
Paul Hong Moy, CFP® is a registered financial advisor currently at SPC located in Mt. Prospect, Illinois and SIGMA FINANCIAL CORPORATION located in Mt. Prospect, Illinois.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Paul has worked at 7 firms and has passed the Series 63, SIE, Series 15, Series 5 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. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES 2. I AM A TRUSTEE FOR MY OWN TRUST. 3. Notary public, Cook County, IL. Offer notary services when requested. Start date: 8/2/12, approx. 1-5 hrs/yr. 4. DBA - Touch Financial Group, Northfield, IL. Offering financial services. Start date: 4/11/23, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y
CRS (Client Relationship Summary) - RIA
Click below to view Paul Hong Moy'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®
CFP®
Start date: 1990
Experience
Current
September 19, 2011 - Present
SPC
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056RIA
CRD#: 110692
Mt. Prospect, IL
Current
September 19, 2011 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1661 Feehanville Dr. Suite 440, Mt. Prospect, IL 60056BD
CRD#: 14303
Mt. Prospect, IL
Past
June 26, 2006 - September 19, 2011
SANCTUARY SECURITIES, INC.
RIA
CRD#: 205
CHICAGO, IL
Past
June 17, 2004 - September 19, 2011
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
MIAMI, FL
Past
April 26, 2002 - July 16, 2004
HOWE BARNES HOEFER & ARNETT, INC.
BD
CRD#: 2240
CHICAGO, IL
Past
September 4, 1990 - April 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 9, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
March 27, 1978 - August 19, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
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(7/15/2019)
RR
California(9/19/2011)
RR
Colorado(11/22/2019)
RR
Florida(9/19/2011)
RR
Illinois(9/19/2011)
IAR
Illinois(9/19/2011)
RR
New Jersey(9/19/2011)
RR
New York(9/19/2011)
RR
North Carolina(11/3/2025)
RR
Washington(9/19/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 11/30/1982
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 2/12/1982
Interest Rate Options ExaminationGeneral 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.
