Timothy J. Kleis
Professional summary
Timothy Jon Kleis, who also goes by Tim Kleis, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Grand Rapids, Michigan.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1993. Timothy has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Jon Kleis's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2007 - Present
SIGMA FINANCIAL CORPORATION
June 11, 2003 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
August 14, 1995 - June 16, 2003
CETERA ADVISORS LLC
January 20, 1994 - August 16, 1995
HORNOR, TOWNSEND & KENT, LLC
February 4, 1993 - January 20, 1994
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/26/2021)
(2/26/2007)
(11/8/2010)
Exams
FINRA
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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