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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-08-19 |
Branch Locations
100 Executive Blvd, Ossining, NY 10562 • United States
300 Parkland Plaza, Ann Arbor, MI 48103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Equity Services, Inc. | Ardsley | NY | 11/1998 | 08/2025 |
| Commonwealth Financial Network | Ossining | NY | 11/1998 | 08/2025 |
| Sigma Financial Corp | Ann Arbor | MI | 08/2025 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 08/2025 | Present |
Fixed insurance sales including term, major medical and disability. Conducted at branch location. Start date: 8/26/25, approx. 2 hrs/mo. INV REL: Y Managing Partner / Member - Judge Mountain House LLC, Croton-On-Hudson, NY. Holding company for family property owned in New York. As managing partner, I manage bank account and pay bills. Start date: 5/16/18, approx. 2 hrs/mo. INV REL: N Managing Partner / Member - Winson Field LLC, Croton-On-Hudson, NY. Holding company for undeveloped land. As managing partner, I pay bills and collect funds from other members of LLC. All are related. Start date: 3/13/2000, approx. 1 hr/mo. INV REL: N
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-19 |
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