Herman H. Klingelhofer
Professional summary
Herman Henry Klingelhofer JR, AIF®, who also goes by (jr) Herman Henry Klingelhofer, Herman Henry Jr Klingelhofer, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Lake Orion, Michigan.
Herman is registered as a RR (Registered Representative) and started their career in finance in 1989. Herman has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herman Henry Klingelhofer JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 2000 - Present
SIGMA FINANCIAL CORPORATION
June 1, 1998 - August 7, 2000
OSAIC FA, INC.
October 18, 1989 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2019)
(9/15/2021)
(6/9/2017)
(5/4/2021)
(7/7/2000)
(4/4/2018)
Exams
FINRA
Nasdaq Stock Market
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 |
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