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Richard Douglas Lax

Spc

Plymouth, MI

Ann Arbor, MI

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Current Employers
Spc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-10-14
  • MI RA
    APPROVED
    Since 2010-10-14

Branch Locations

11380 Spicer Drive, Plymouth, MI 48170 • 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
OrganizationCityStateFromTo
Sigma Financial Corporation Ann Arbor MI 09/1999 Present
  • 09/1999 → Present
    Sigma Financial Corporation
    Ann Arbor, MI
Other Businesses

SELL TERM LIFE INSURANCE AND FIXED ANNUITIES, WITH VARIOUS INSURANCE COMPANIES." IAM A NON PAID ADMINISTRATOR AT WARD PRESBYTERIAN CHURCH IN NORTHVILLE MI.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-19
S63 Uniform Securities Agent State Law Examination 1998-05-05
  • S65 Uniform Investment Adviser Law Examination
    1998-05-19
  • S63 Uniform Securities Agent State Law Examination
    1998-05-05

View on SEC IAPD

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