Kent Joseph Spotts

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-04-16
MI	RA	APPROVED	2016-11-10
OH	RA	APPROVED	2016-11-10

TX RA
APPROVED

Since 2026-04-16
MI RA
APPROVED

Since 2016-11-10
OH RA
APPROVED

Since 2016-11-10

Branch Locations

Northfield Center, OH • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Mayfield	OH	10/2009	11/2016
Parkland Securities, Llc	Ann Arbor	MI	11/2016	Present
Spc	Ann Arbor	MI	11/2016	Present

10/2009 → 11/2016

Ameriprise Financial Services, Inc.

Mayfield, OH
11/2016 → Present

Parkland Securities, Llc

Ann Arbor, MI
11/2016 → Present

Spc

Ann Arbor, MI

Previous Registrations

2009-10-05 → 2016-11-11

Ameriprise Financial Services, Llc

Mayfield, OH

Westlake, OH

Pepper Pike, OH
2003-07-14 → 2009-10-05

Ameriprise Advisor Services, Inc.

Fairlawn, OH

Mayfield, OH

Other Businesses

1. Insurance Agent: Various insurance sales through various insurance companies. 2. dba - Spotts Wealth Management, Northfield Center, OH. Offering financial services through Parkland Securities. Start date: 11/16/18, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y 3. Ski instructor - Brandywine Resort, Sagamore Hills, OH. Teaching beginning skiers the basics of skiing. Start date: 1/29/23, approx. 64 hrs total during season on weekends. INV REL: N

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-07-19
S63	Uniform Securities Agent State Law Examination	1992-08-14

S65 Uniform Investment Adviser Law Examination

2007-07-19
S63 Uniform Securities Agent State Law Examination

1992-08-14

Designations

Certified Financial Planner

View on SEC IAPD