Steven B. Eckert
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.
Steven Brent Eckert was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
December 1, 2016 - December 31, 2017
SIGMA FINANCIAL CORPORATION
November 8, 2006 - December 23, 2016
AUSDAL FINANCIAL PARTNERS, INC.
November 8, 2006 - December 23, 2016
AUSDAL FINANCIAL PARTNERS, INC.
April 10, 2006 - October 10, 2006
INVESTMENT CENTERS OF AMERICA, INC.
April 10, 2006 - October 10, 2006
INVESTMENT CENTERS OF AMERICA, INC.
November 19, 2003 - April 11, 2006
WALNUT STREET SECURITIES, INC.
November 11, 2003 - April 11, 2006
WALNUT STREET SECURITIES, INC.
December 4, 1997 - November 18, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 1995 - November 18, 2003
IDS LIFE INSURANCE COMPANY
September 5, 1995 - November 18, 2003
AMERIPRISE FINANCIAL SERVICES, 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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