Becky Steffens, Firm Development

Becky started working at Sigma Financial in 2006 and since that time has moved up through the operations department. She started as an Imaged Document Specialist, then moved to Brokerage Cashier, and is currently part of the Firm Development team. Becky specializes in New Representative transition and training, representative relations, and marketing.

Becky earned her Bachelor’s degree in General Studies from Baker College in 2014 with concentrations in Business and Communications. She also attended the University of New Orleans and Eastern Michigan University. In 2004, Becky attended the “EMU Cultural History Program,” where she studied abroad in Ireland, Scotland, London, and France. This experience helped educate Becky on different cultures and nationalities, as well as broadened her knowledge about European lifestyles.

Becky is a member of the Alpha Xi Delta Alumni Association. As a member of the sorority in 2003-2004, Becky held two leadership positions; New Member Orientation Chair and Philanthropy Chair. As the New Member Orientation Chair, Becky was able to recruit a record breaking amount of new members for the sorority.

During her spare time, Becky enjoys watching Michigan sports and crocheting. In 2013,she started her own crochet business named, “Something Cozy,” where she specializes in creating unique crocheted items such as fun baby hats and can cozies. Becky also enjoys participating in obstacle races including the Tough Mudder and the WarriorDash.

  • Case Planning
  • RIA Platform with SPC
  • Licensing
  • Commissions
  • Compliance
  • Technology
  • Operations & Trading

Case Planning Department

The Case Planning Department’s primary purpose is to help our representatives develop and maintain a superior financial services practice. Staffed by experienced Financial Professionals with diverse backgrounds, the department is a top notch team designed to service our representatives’ investment, planning, and training needs. We accomplish this by helping our representatives develop comprehensive investment and financial plans tailored to their clients’ goals. Examples of what the department assists with include: strategic business planning, marketing, qualified account plans, product comparisons, college and estate planning, advisory platforms, security selection, and insurance plans. We support our representatives with this development through ongoing training events in the classroom, via internet meetings, conferences, and on-site instruction.

iPlan: Is a 24/7 single access point to submit Case Plan requests. This system allows you to access a secure source to request case plans, upload necessary confidential client documents, follow case progress, communicate with Case Planners, and retrieve the results in iPlan.

Managing 4 Success: Practice Management entails everything from making your practice grow and increasing efficiency to transitioning out when the time comes. Clearly, increasing the value of your practice benefits you at both ends of your career. We have evaluated dozens of resources and believe we offer some of the best available to help accomplish your goals.

Marketing 4 Success: We are here to assist you and your office in developing marketing techniques that will help retain and grow your business. Whether you are looking for newsletters, cards, client management software systems or searching for the newest seminar topics, we are here to guide you in the right direction.

Technology 4 Success: The opportunities are endless with the various Technology platforms that are available to our representatives to improve office efficiency. We have partnered with numerous vendors in the areas of CRM systems, account aggregation, research providers…just to name a few.

Training 4 Success: We want you and your business to thrive! To help you, we host many informative meetings, conferences, and training courses throughout the year. Training 4 Success provides continuous training to keep you up-to-date on ideas and changes in the marketplace. We offer One-On-One Personal Trainings, Lunch and Learns, CE courses, Regional Rep meetings, Back Office Operations Training (B.O.O.T Camp), New Rep training information and much more.

Read More

RIA Platform with Sigma Planning Corporation (SPC)

The goal of the SPC Department is to help you grow, service, and cultivate the fee-based portion of your practice. Whether it’s understanding your role as a fiduciary, guidance and support as a discretionary portfolio manager, researching and selecting third-party managers, or any other aspect of the advisory realm, the SPC Department is willing and able to support you through the process. As the advisory side of the financial services industry continues to grow and evolve at a rapid pace, we are here to help you make it both a more efficient, and more lucrative, part of your practice. Our Comprehensive RIA Platform allows Investment Advisor Representatives to utilize multiple strategies when helping their clients:

Access to hundreds of Institutional Third Party Money Managers

We have agreements with several third party money managers as well as Envestnet’s platform available through Fidelity Institutional Wealth Services.

Discretionary Trading Authorization on Brokerage Accounts

Through our Sigma Managed Account, you have the ability to trade stocks, bonds, ETF’s, mutual funds, and other investments on a discretionary basis through a brokerage account at Fidelity Institutional Wealth Services.

Hourly and Financial Planning Services

You have the ability to charge for providing comprehensive financial plans or an hourly basis for meeting with your clients.

Read More


Transitioning to a new broker dealer can be an overwhelming and taxing job for a financial representative and their office. Here at Parkland Securities we have created one central area devoted specifically to assist you with your transition. Made up of our Firm Development Department and Licensing Department, this area has one goal in mind … to see that your transition into Parkland Securities runs smoothly with minimal interruption to your business.

FINRA CRD Services: Parkland Securities’ Firm Development and Licensing staff are available to help you with your initial FINRA registration with Parkland Securities and any amendments including address changes, state registration changes, and annual renewals.

New Rep Transition: Each new representative is assigned to a Transition Team consisting of a Firm Development member and a Licensing Coordinator. Your Transition Team will be your initial point of contact for all your new rep training and client transition items.

Client Transition: Your core Transition Team will work with you to create a customized client transition plan. They will also work as a liaison with our Design Department for reps that need assistance creating letterhead and business cards.

Securities & Investment Advisor Rep Licensing: The Licensing Department will take care of all your securities or investment advisor representative licensing needs. Simply call a Licensing member or submit an online request and we’ll walk you through the steps to get a state license approval.

Variable Appointment Processing: Variable annuity and life appointment forms can be obtained by calling or emailing a Licensing Department member or can be downloaded off the forms section of our website. After you complete the form, fax it into our Licensing Department where we will attach your FINRA CRD report and submit it to the company for processing. We check appointments for completion on a weekly basis and send you an email or fax confirmation with your effective date and rep code.

New Rep Seminar: New Reps are required to complete New Rep Training either by watching 10 pre-recorded WebEx presentations from the comfort of their office or by attending a one-day seminar at our home office.New Rep Seminars are held the third Wednesday of every month and give you the opportunity to meet the Parkland Securities’ staff, receive training, and ask questions directly to the people who will be working with you on a day-to-day basis.

Read More


The goal of the Parkland Securities’ Commission Department is to pay our reps in a timely manner and provide detail that is easy to access. Our department understands that as a Registered Representative you are busy in the field and tries to provide you with the most accurate information possible.

iBonus: Access iBonus from our web site to look at commissions paid through Parkland Securities and fees paid through our RIA, Sigma Planning Corporation (SPC). You can view upcoming commissions due for the next pay cycle, display your paid statements, and do searches for individual client accounts.

Pay Dates: Commissions will be paid on the 7th and 21st of every month. Commissions received between the 1st and 15th will pay out to the RR on the 21st commission run. Commissions received between the 16th and the end of the month, pay out on the 7th of the following month.

Early Check Requests: Using the iRep system you can request an early payment for commissions ready to process. If the request is received by 1:00PM ET we should be able to process it that day so the funds are received in your account the following business day.

Commission Statements: Paid commission statements are available for viewing in iBonus or our Online Commission Center.

SPC: Fees paid to our RIA from Third Party Money Managers are typically paid quarterly. The FIWS Sigma Managed programs pay fees monthly in advance. Clients will be billed the first day of each month and the fees will be paid on the 21st of that month. Since these fees are billed in advance please note a chargeback may occur if the client withdraws funds during the month.

Read More


The wheels of FINRA regulation and disciplinary actions are constantly turning in our fast-paced and fiercely competitive industry. We cannot stress enough the importance of maintaining your regulatory edge over and above what the average broker maintains. Our department will help you ensure that your practice is well informed and within compliance guidelines.

Compliance Department breakdown: Senior Compliance: The Senior Compliance staff handles the big picture items relating to the changing regulatory environment of FINRA and the SEC. This team, along with Parkland Securities’ executive committee members, are responsible for implementing and maintaining compliance with the rules and regulations of our industry.

Sales Review: The Sales Review team utilizes our convenient iSales system to quickly examine and provide feedback on your mutual fund, variable annuity, variable life, alternative investment, equity indexed annuity, managed account, and hourly financial planning activities. After scanning and submitting your client’s compliance documents and applications through the iSales tab of the Parkland Securities website, or by faxing the documents in to our dedicated toll-free sales review fax number, you can receive approval to forward the application onto the investment company within 1-2 hours of submission.

Advertising Review: After submitting your advertising documents by fax or email, the Ad Review team will review, provide comments as needed, and if everything is in order, can typically generate an approval within 2-5 days of submission for items such as business cards, letterhead, client letters, and advertisements. The Ad Review team also evaluates more complex items such as client presentations, seminar pieces, articles, and websites.

Audits: The Parkland Securities audit staff helps our representatives prepare for a rare, but unexpected visit by FINRA, the SEC, or state regulatory agencies. Most reps enjoy our audit visits as a way to catch up on any questions they may have. At least once every 18 months, our staff will contact you to set up an appointment to cover at least six major areas: Branch Identification, Required Files (representative file, advertising file, compliance file, complaint file, incoming & outgoing correspondence files, and seminar files), Logs (daily blotter, cross-reference, client holding records, and check logs), Prospectuses, Fingerprinted Employees, and Client Files.

Disclosures & Customer Complaints: Although we hope you never have to utilize this service, our compliance staff will assist you with handling any client complaints or other disclosures that require an update your FINRA U4.

Read More


The goal of the Parkland Securities Technology Department is to make our Registered Representatives the most productive and efficient in the industry. By offering a high quality technology platform and knowledgeable staff, we will keep you updated on trends in the technological world including new software, security, prudent practices, and system maintenance and purchasing.

Technology offerings available to all representatives and their staff:

Parkland Securities Website: Prospective reps, clients, and on-board reps can view the website by pointing their browser to Once logged in, the Parkland Securities website becomes the central portal for conducting daily business. Automatic pass-through to systems like: Commission Data, Online Sale Submission, MoneyGuide Pro, Client Source, Morningstar CAM, and Email make remembering extra usernames and passwords a thing of the past. The website is constantly updated, with an abundance of industry specific news and links to the latest events in an effort to keep you well-informed of the latest happenings.

ParklandSecurities Email: Upon joining Parkland Securities, representatives are provided an email account. Representatives can access this email account using webmail, via mobile, and/or through an email client – like Microsoft Outlook. Utilizing your ParklandSecurities Email account is an important tool that is used to keep you in close contact with their clients, the home office, all while maintaining FINRA compliance.

Hosted Exchange: Many of our representatives promote their businesses by developing a branded website. If your one of these representatives, odds are good that you’re using an email addresses with the same domain. Parkland Securities will work with your domain registrar to reconfigure your email address to utilize our Hosted Exchange system. Rerouting the mail allows you to remain in compliance and enables you to continue using your specific email addresses for all client correspondence. Our Hosted Exchange platform provides a feature rich messaging platform for email, calendar, and contact management. We keep you productive in the office and on the road with synchronized messages, appointments, and contact records using Outlook and various mobile devices (using ActiveSync).

Client Source—by Broadridge: Client Source allows you to manage your office, clients, and consolidate client statements with a great lineup of client management features. Features include Online Document Storage, contact management, and task management functions (calendars, tasks, letters), Consolidated Client Statements are automatically kept up to date, using data from National Financial, DST, and DAZL. Client Source also integrates with Laserapp, Morningstar Principia Pro/Adv. Workstation, and Moneyguide Pro, making transferring data between systems a snap.

Morningstar CAM: CAM allows you to manage your office, clients, and consolidated client statements like never before. CAM brings together consolidated account statements with the look and feel of Morningstar’s reports. Account information is downloaded daily into the CAM tool, so reports are easily updated and quickly available for review.

Technology Support: Our Technology staff consistently receives high marks from our representatives. Our representatives can easily contact the support team via, telephone, email or through the website – an online system we’ve titled, “Live Support”. Live Support grants technicians the ability to run diagnostics, send instant messages, and even remote control your computer (with permission, of course). This service limits the need for travel and lessens the time spent explaining the issues and/or resolutions to everyday computer issues. Simply put, you can conduct business and leave the technology needs and troubleshooting to us.

Computer Security: Our technicians are savvy on computer security and can help you safeguard your client data and keep your computers running at peak performance. Technicians are armed with the latest tools to combat malicious items like viruses, spyware, and browser hijackers. We have scans that can determine the security state of your workstations and you’ll be provided with guidelines for performing weekly and monthly tasks to help ensure that your computer is safe, and your client data is protected.

Software Training: We offer computer software training for you and/or any assistants working in your office. This training covers Microsoft Word, Excel, PowerPoint, and Outlook as well as other programs that you use on a daily basis. Using remote software, a trainer can be on your computer and on the phone conducting classes for a group or an individual in your office. Free software documentation is available on the website for each course offered. Don’t waste your time teaching staff new technology, leave the training to us.

Read More

Operations and Trading

As part of our commitment to provide quality service to you, we have formed a strategic business alliance with one of the nation’s largest securities custody and clearing firms, National Financial Services, LLC. National Financial is a Fidelity Investments® company and is a member of the NYSE and SIPC. For more than 25 years, National Financial has provided institutional clearing and execution services. With leading edge technology, National Financial incorporates innovative products and programs, supported by dedicated client service professionals and trusted industry alliances. The Trading & Operations Teams are your liaisons to National Financial, dedicated to servicing all of your and your client’s needs. We will process your retail brokerage account business in a timely and accurate manner with a friendly attitude. We will also keep you informed of the products and services available to you through our clearing partner, National Financial Services, LLC.

Trading Department Overview: Trading can assist you with your retail brokerage based trades at National Financial Services (NFS) including stocks, fixed income, mutual funds, UITs, and options. The department can also answer all questions you may have with regard to trading, allowable commissions, ticket charges, trade corrections, margin, etc.

Operations: Operations is responsible for establishing and servicing all of your retail brokerage accounts through National Financial Services (NFS). These servicing items include establishing account questions, cashiering, and account transfers.

Technology Packages Available

  • Streetscape -is available to our representatives and administrative staff free of charge. This platform is used to access your National Financial retail brokerage accounts which includes, trading, account service, reports, planning, market information, and research tools.
  • Thompson One – is an add-on service that you can elect to utilize in your office at an additional charge. This tool will provide real time quotes as well as additional reporting capabilities.

Access Online – is available for your clients to view their individual brokerage accounts.. Access Online can also provide electronic statements, confirmations and tax documents.

Read More