Thomas N. Rau
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.
Thomas Neil Rau, who also goes by Thomas N Rau, Tom Rau, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
April 23, 2018 - December 31, 2022
SIGMA FINANCIAL CORPORATION
September 27, 2016 - April 26, 2018
NYLIFE SECURITIES LLC
April 1, 2015 - September 14, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
March 13, 2009 - October 14, 2014
INVEST FINANCIAL CORPORATION
March 4, 2003 - March 13, 2009
OSAIC WEALTH, INC.
May 14, 1999 - March 14, 2003
CETERA WEALTH SERVICES, LLC
April 22, 1998 - June 2, 1999
NATCITY INVESTMENTS, INC.
March 17, 1995 - June 2, 1999
NATCITY INSURANCE SERVICES, INC.
September 3, 1992 - December 19, 1994
CAPITAL BROKERAGE CORPORATION
January 23, 1992 - December 19, 1994
CAPITAL BROKERAGE 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
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
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