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DM

David B. Morris

SIGMA FINANCIAL
CRYSTAL LAKE, IL
Some features on this profile are disabled
CRD#: 1661948
DM

Professional summary

David Brent Morris is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Crystal Lake, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Brent Morris'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®
None

Experience

Current

September 11, 1992 - Present

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
CRYSTAL LAKE, IL
Past

February 5, 1990 - September 17, 1992

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

November 19, 1989 - February 13, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

April 14, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

October 14, 1988 - May 11, 1989

KURK FINANCIAL SECURITIES, INC.

BD
CRD#: 23098
Past

January 19, 1988 - October 27, 1988

KAVANAUGH SECURITIES, INC.

BD
CRD#: 10606
DALLAS, 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
Arizona
(3/29/2012)
RR
Illinois
(12/2/1992)
RR
New York
(12/19/2006)
RR
North Carolina
(3/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/29/1990
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 7
Date: 4/25/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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.

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Company Information

SIGMA FINANCIAL CORPORATION

CRD#: 14303Crystal Lake, IL

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