John L. Rossi
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.
John Louis Rossi was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 firms and has passed the Series 63 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
September 1, 2010 - October 31, 2013
SIGMA FINANCIAL CORPORATION
March 26, 2009 - June 28, 2010
JOHN JAMES INVESTMENTS, LTD.
November 8, 2006 - March 31, 2009
CADARET, GRANT & CO., INC.
January 8, 2002 - November 8, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
May 24, 2000 - December 31, 2001
SIGMA FINANCIAL CORPORATION
October 1, 1997 - May 25, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
August 1, 1995 - October 1, 1997
USLIFE EQUITY SALES CORP.
April 6, 1995 - July 6, 1995
CETERA WEALTH SERVICES, LLC
June 6, 1994 - April 10, 1995
WMA SECURITIES, INC.
November 23, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 18, 1990 - September 22, 1993
NORTH AMERICAN MANAGEMENT, INC.
November 21, 1985 - September 27, 1990
PFS INVESTMENTS INC.
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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