John G. Stanford
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.
John Gary Stanford JR, who also goes by Jack Stanford Jr, John Gary Jr Stanford, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 9 firms and has passed the Series 63, 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
February 11, 2002 - February 14, 2002
SIGMA FINANCIAL CORPORATION
February 9, 2002 - June 17, 2004
PARKLAND SECURITIES, LLC
October 31, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
January 3, 2000 - February 14, 2000
FIRSTAR INVESTMENT SERVICES,INC.
October 18, 1999 - January 3, 2000
MERCANTILE INVESTMENT SERVICES, INC.
March 12, 1997 - December 21, 1999
WALNUT STREET SECURITIES, INC.
February 1, 1994 - December 31, 1996
BANNER FINANCIAL SERVICES GROUP
October 13, 1993 - February 3, 1997
WORKMAN SECURITIES CORPORATION
January 7, 1992 - July 29, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 7, 1992 - July 29, 1992
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
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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