Michael G. Scott

SIGMA FINANCIAL

Toledo, OH 43604

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CRD#: 1879895

Professional summary

Michael Gregory Scott, who also goes by Michael G Scott, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Toledo, Ohio.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael G Scott

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 Michael Gregory Scott'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

February 5, 1999 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 18 N. St. Claire Street Suite 2a, Toledo, OH 43604

CRD#: 14303

Toledo, OH

Past

November 6, 1996 - February 10, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 8, 1990 - November 9, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 29, 1988 - May 10, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(5/9/2012)

Maryland
(5/15/2018)

Michigan
(2/5/1999)

New York
(1/19/2022)

North Carolina
(6/23/2009)

Ohio
(2/5/1999)

Texas
(5/8/2018)

Washington
(9/10/2008)

Exams

State Security Law Exam

Series 63

Date: 10/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/28/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SIGMA FINANCIAL CORPORATION

CRD#: 14303 / SEC#: , 8-30466

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Michael G. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Gregory Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/1988

SIE

Date: 10/1/2018

Series 6

Date: 9/28/1988

FINRA

Current Firm

SIGMA FINANCIAL CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIGMA FINANCIAL CORPORATION

TRUST BUT VERIFY

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