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MT

Mary Tocco

SIGMA FINANCIAL
Shelby Twp, MI 48316
Some features on this profile are disabled
CRD#: 1052092
MT

Professional summary

Mary Tocco, CFP®, who also goes by Mary Catalano, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Shelby Twp, Michigan.

Mary is registered as a RR (Registered Representative) and started their career in finance in 1982. Mary has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Catalano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
AN INDEPENDENTLY LICENSED INSURANCE AGENT AND APPOINTED WITH VARIOUS INSURANCE COMPANIES. ALSO SELLS FIXED INDEX ANNUTIES WITH VARIOUS COMPANIES. DBA - Davis Capital Management, LLC, Clinton Twp, MI. Offering financial services through Sigma Financial Corp and SPC. Start date: 8/20/24, approx. 160 hrs/mo, all during mkt hrs. INV REL: Y Independent Financial Services, LLC, Macomb, MI. Personal LLC used only for tax tracking purposes. Start date: 9/19/24, approx. 4 hrs/mo, none during mkt hrs. INV REL: N Charity Realty USA - hold real estate license with firm for personal use. Start date: 12/31/20, minimal time spent on activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mary Tocco's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

January 23, 2009 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 51424 Vandyke Suite 9, Shelby Twp, MI 48316Office #2: 16950 19 Mile Rd. Ste. 6a, Clinton Twp, MI 48038
BD
CRD#: 14303
Shelby Twp, MI
Past

April 21, 2010 - November 10, 2025

SPC

RIA
CRD#: 110692
CLINTON TOWNSHIP, MI
Past

May 30, 2006 - January 29, 2009

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
CLINTON, MI
Past

February 15, 2002 - January 29, 2009

FSC SECURITIES CORPORATION

BD
CRD#: 7461
CLINTON, MI
Past

September 15, 1998 - February 25, 2002

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

July 12, 1982 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/23/2009)
RR
Indiana
(11/15/2016)
RR
Michigan
(1/23/2009)
RR
Texas
(3/2/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/31/1983
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SIGMA FINANCIAL CORPORATION
SIGMA FINANCIAL CORPORATION

CRD#: 14303 / SEC#: , 8-30466

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
300 Parkland Plaza, Ann Arbor, MI 48103-9508
Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103-9508
Phone number
(734) 663-1611
Established
Michigan since 09/20/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020TRUST (OWNER OF ALL VOTING SHARES)
MCCLELLAN, JOHN ALEXANDERCHIEF RISK AND BUSINESS OFFICER4016479
PHILLIPS, RICHARD THOMASCHIEF COMPLIANCE OFFICER6041363
PISTOR, RANDOLPH FULVIOCHIEF LEGAL OFFICER5143334
RYDELL, BRANDON DAVIDPRESIDENT2933397
RYDELL, JEROME STANLEYCEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020408389
WOOTON, RYAN DANIELCHIEF FINANCIAL OFFICER8006797

Disclosures

Regulatory Event15
Arbitration11

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SIGMA FINANCIAL CORPORATION

CRD#: 14303Shelby Twp, MI 48316

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Contact information

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