Richard T. Holleran
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.
Richard Thomas Holleran, who also goes by Richard T Holleran, Richard Holleran, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - July 18, 2014
SIGMA FINANCIAL CORPORATION
July 9, 2012 - November 5, 2012
SIGMA FINANCIAL CORPORATION
June 28, 2010 - August 26, 2010
QUEST CAPITAL STRATEGIES, INC.
October 24, 2005 - July 17, 2008
AVANTAX INVESTMENT SERVICES, INC.
June 23, 2003 - February 6, 2004
WADDELL & REED
April 24, 2000 - July 23, 2001
PASSPORT SECURITIES, INC.
July 23, 1996 - December 31, 1998
AVANTAX INVESTMENT SERVICES, INC.
December 19, 1992 - December 31, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 4, 1991 - June 24, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 4, 1991 - June 24, 1992
SIGNATOR INVESTORS, 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
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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