David E. Walson
Professional summary
David Eugene Walson is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Pinckney, Michigan.
David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 10 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Eugene Walson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2013 - Present
SIGMA FINANCIAL CORPORATION
September 30, 2004 - January 2, 2013
NEXT FINANCIAL GROUP, INC.
June 18, 1999 - October 7, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 10, 1996 - June 17, 1999
IAC SECURITIES, INC.
September 16, 1994 - January 6, 1995
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 10, 1994 - September 8, 1994
NATIONAL PLANNING CORPORATION
June 21, 1991 - March 2, 1992
OSAIC WEALTH, INC.
July 19, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 19, 1990 - June 21, 1991
MONY SECURITIES CORPORATION
September 18, 1989 - June 25, 1990
SIGMA FINANCIAL CORPORATION
March 9, 1988 - October 3, 1989
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/15/2013)
(1/9/2013)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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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