Bryan S. Bluhm
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.
Bryan Scott Bluhm, who also goes by Scott Bluhm, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1992. Bryan had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2016 - August 19, 2016
SIGMA FINANCIAL CORPORATION
May 31, 2008 - June 26, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
November 27, 2007 - June 25, 2008
CAPITAL ONE INVESTMENTS, LLC
November 20, 2007 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
March 18, 2005 - October 8, 2007
MML DISTRIBUTORS, LLC
December 13, 2002 - March 19, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
December 13, 2002 - March 19, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
June 4, 2002 - October 1, 2002
AIM PRIVATE ASSET MANAGEMENT
May 5, 1997 - October 1, 2002
INVESCO DISTRIBUTORS, INC.
June 15, 1995 - September 23, 1996
BANK UNITED SECURITIES CORP.
May 16, 1994 - October 25, 1994
SANDERS MORRIS LLC
July 31, 1993 - May 27, 1994
CITIGROUP GLOBAL MARKETS INC.
June 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 26, 1992 - May 19, 1992
CIBC WORLD MARKETS CORP.
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
