David K. Marshall
Professional summary
David Kirkham Marshall, who also goes by Kirk Marshall, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Lenox, Michigan.
David is registered as a RR (Registered Representative) and started their career in finance in 1989. David has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Kirkham Marshall's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2009 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 67155 South Forest Ave. Suite 1, Lenox, MI 48050March 18, 2008 - July 24, 2009
ONEAMERICA SECURITIES, INC.
May 10, 1993 - March 10, 2008
SIGMA FINANCIAL CORPORATION
December 23, 1992 - June 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
October 10, 1989 - December 23, 1992
USA FINANCIAL GROUP, INC.
March 23, 1989 - October 17, 1989
MUTUAL SERVICE 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
(1/22/2018)
(7/21/2009)
(8/23/2019)
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.
