Pete Pallone

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1985 → Present
  Self Employed Cattle Ranch Owner
  Rose Bud, AK
• 02/2002 → Present
  Sigma Planning Corp
  Heber Springs, AR
• 08/2014 → Present
  Parkland Securities, Llc
  Ann Arbor, MI

Other Businesses

1) DBA - PALLONE FINANCIAL SERVICES, INC.: PRESIDENT 2) SALE OF LIFE, HEALTH, AND DISABILITY THROUGH VARIOUS INSURANCE COMPANIES. 3) PALLONE LAND CO., INC. - PRESIDENT/OWNER - COMMERCIAL REAL ESTATE RENTAL. 4) RECEIVES NATURAL GAS ROYALTIES 5) PALLONE CATTLE CO.,LLC - OWNER - CATTLE RANCH 6) BOARD MEMBER OF CLEBURNE COUNTY CATTLEMENS ASSOC., CLEBURNE COUNTY, AR, START DATE: 5/1/13, APPROX. 2 HRS/MO, NONE DURING TRADING HOURS. 7) TRUSTEE OF ILIT TRUSTS FOR FAMILY MEMBERS 8) Trustee of personally owned trust. 9. Limited Partner of The Rose of Sharon Ranch, LLLP, Heber Springs, AR. Administrative duties including bookkeeping and depositing checks. Start date: 12/18/1998, less than 1 hr/mo. INV REL: N

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1994-09-13

Other Names

• Samuel Pete Pallone
• Samuel Pete Pallone