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Sgl Financial, LLC CRD 158023
$416M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2015-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| David Schmitz Insurance | Rhinelander | WI | 09/1994 | Present |
| Sgl Financial, Llc | Buffalo Grove | IL | 04/2015 | Present |
DAVID SCHMITZ IS A LICENSED AND APPOINTED INSURANCE AGENT WITH VARIOUS COMPANIES. HE MAY FROM TIME TO TIME OFFER PRODUCTS AND SERVICES FROM THIS ACTIVITY TO VARIOUS CLIENTS WHEN APPROPRIATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-14 |
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