Robert A. Stroud
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Allan Stroud, who also goes by Robert Allen Stroud Jr, Robert Allen Stroud, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2021 - April 1, 2022
SIGMA FINANCIAL CORPORATION
April 11, 2017 - November 10, 2021
INFINITY FINANCIAL SERVICES
June 20, 2001 - March 28, 2017
ALLEGHENY INVESTMENTS, LTD.
January 29, 2001 - June 21, 2001
FSC SECURITIES CORPORATION
February 9, 1999 - January 16, 2001
FSC SECURITIES CORPORATION
July 8, 1997 - February 2, 1999
SECURITIES SERVICE NETWORK, LLC
March 19, 1993 - June 27, 1997
OSAIC WEALTH, INC.
January 12, 1989 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
May 2, 1988 - August 3, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
April 28, 1987 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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