Gary Lee Roell

CRD 4519976

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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
IN	RA	APPROVED	2010-04-30
OH	RA	APPROVED	2010-04-30

IN RA
APPROVED

Since 2010-04-30
OH RA
APPROVED

Since 2010-04-30

Branch Locations

Cincinnati, OH • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Sigma Financial Corporation	Ann Arbor	MI	04/2010	Present
Spc	Ann Arbor	MI	04/2010	Present

04/2010 → Present

Sigma Financial Corporation

Ann Arbor, MI
04/2010 → Present

Spc

Ann Arbor, MI

Previous Registrations

2009-10-05 → 2010-05-12

Ameriprise Financial Services, Llc

Cincinnati, OH
2003-07-09 → 2009-10-05

Ameriprise Advisor Services, Inc.

Blue Ash, OH

Cincinnati, OH

Cincinnati, OH

Other Businesses

DBA: ROELL FINANCIAL SERVICES; OFFERS FINANCIAL SERVICES. SELLS VARIOUS LINES OF INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-06-03

S66 Uniform Combined State Law Examination

2002-06-03

Designations

Certified Financial Planner

View on SEC IAPD

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