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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-04-26 |
| TX | RA | APPROVED_RES | 2015-04-28 |
| KS | RA | APPROVED | 2011-01-12 |
Branch Locations
300 Parkland Plaza, Ann Arbor, MI 48103 • United States
11020 King Street Suite 250, Overland Park, KS 66210 • United States
4501 North 22Nd Street Suite 190, Phoenix, AZ 85016 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Overland Park | KS | 09/2010 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 01/2011 | Present |
M&R FINANCIAL GROUP: AS AN INDEPENDENTLY LICENSED INSURANCE AGENT I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. Also offer securities products. HIGHER ROADS, ALLIANCE FINANCE: Assist with preparation of tax returns for submission, 80-100 HRS/YEAR. LIESS BUSINESS SERVICES, NON-INVESTMENT RELATED, SMALL BUSINESS ACCOUNTING & TAX, POSITION - CONSULTANT. 40 HRS DEVOTED/MO, LESS THAN 20 HRS/MO DURING SECURITIES TRADING HOURS. LIESS RENTALS - I OWN SEVERAL COMMERCIAL MOONWALKS THAT ARE MANAGED AND LEASED BY A COMMERCIAL ENTERTAINMENT COMPANY. .5 - 1 HR DEVOTED/MO, 0 HOURS/MO DURING SECURITES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-12 |
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