Kevin S. Dodge
Professional summary
Kevin Scott Dodge is a registered financial professional currently at LPL FINANCIAL LLC located in Clio, Michigan and SIGMA FINANCIAL CORPORATION located in Grand Blanc, Michigan.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Scott Dodge's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2009 - Present
LPL FINANCIAL LLC
June 30, 2026 - Present
SIGMA FINANCIAL CORPORATION
May 27, 2003 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 13, 2002 - December 31, 2002
CINCINNATI ANALYSTS, INC.
January 7, 2000 - March 12, 2002
HORNOR, TOWNSEND & KENT, LLC
December 1, 1997 - January 11, 2000
CAPITAL BROKERAGE CORPORATION
December 4, 1984 - December 1, 1997
FORTH FINANCIAL SECURITIES, 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
(12/21/2020)
(9/30/2020)
(3/30/2016)
(9/8/2009)
(1/3/2020)
(2/4/2021)
(1/30/2013)
(7/6/2018)
Exams
FINRA
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
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.
