Timothy D. Grable

SIGMA FINANCIAL

Fort Wayne, IN 46804

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CRD#: 2214900

Professional summary

Timothy David Grable, AIF® is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Fort Wayne, Indiana.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1992. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Timothy David Grable'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 28, 2003 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 7030 Pointe Inverness Way Suite 200, Fort Wayne, IN 46804

CRD#: 14303

Fort Wayne, IN

Past

February 20, 2002 - August 28, 2003

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

July 19, 2000 - January 31, 2002

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

October 29, 1998 - July 19, 2000

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

August 1, 1995 - October 28, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

April 28, 1992 - August 1, 1995

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

SEATTLE, WA

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

Indiana
(8/28/2003)

Ohio
(8/28/2003)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1992

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: 4/27/1992

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Timothy D. Grable

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy David Grable's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

HORNOR, TOWNSEND & KENT, LLC

SII INVESTMENTS, INC.

VOYA FINANCIAL ADVISORS, INC.

RELIASTAR FINANCIAL MARKETING CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1996

Series 63

Date: 4/27/1992

SIE

Date: 10/1/2018

Series 6

Date: 4/27/1992

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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