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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 1998-10-08 |
Branch Locations
900 North Shore Drive Suite 239, Lake Bluff, IL 60044 • 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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 10/1995 | Present |
| Sigma Planning Corp. | Lake Bluff | IL | 10/1998 | Present |
1. dba - RW Financial LLC, Lake Bluff, IL. Offers financial services. Start date: 2/8/18, approx. 150 hrs/mo with 80% during mkt hrs. 2. SELLING TRADITIONAL LTC & LIFE INSURANCE PRODUCTS WITH VARIOUS INSURANCE COMPANIES. 3. Lake Forest Cemetery Commission, Lake Forest, IL. Serve as one of five commissioners that assists in the management of a local historical cemetery. Start date: 6/30/21, approx. 3 hrs/quarter. No access to funds, not investment related. 4. Serve as co-trustee for my spouse's trust. Start date: 4/14/23, less than 1 hr/mo.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1981-07-13 |
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