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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-10-31 |
Branch Locations
940 South Coast Drive Suite 255, Costa Mesa, CA 92626 • 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 |
|---|---|---|---|---|
| National Planning Corporation | Huntington Beach | CA | 12/2003 | 10/2017 |
| Sigma Financial Corporation | Ann Arbor | MI | 10/2017 | Present |
| Spc | Ann Arbor | MI | 10/2017 | Present |
1. MAUREEN STEVENS AULT NOTARY - NOTARY WORK / OWNER / 940 SOUTH COAST DRIVE, SUITE 255, COSTA MESA, CA 92626 / STARTED 12/2012 / .5 HOURS A MONTH / .5 HOURS DURING TRADING HOURS / NON-INVESTMENT RELATED 2. TAX PREPARER - EMPLOYEE / STARTED 1996 / PREPARE TAX RETURNS DURING MONTHS OF FEBURARY, MARCH AND HALF OF APRIL / 10 HOURS A MONTH DURING THOSE MONTHS WITH MOST BEING WEEKENDS AND EVENINGS 3. INSURANCE - VARIOUS INSURANCE SALES THROUGH VARIOUS INSURANCE COMPANIES / STARTED 2010 / 2 HOURS A MONTH / 2 HOURS DURING TRADING HOURS 4. IAR 5. DBA - Stevens and Ault Financial Services, Costa Mesa, CA. Start date: 6/14/19. INV REL: Y
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-28 |
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