Sean D. Williams
Professional summary
Sean David Williams is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Hudson, Michigan.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean David Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2007 - Present
SIGMA FINANCIAL CORPORATION
August 28, 2007 - December 31, 2008
SPC
July 26, 2006 - August 13, 2007
AUTO CLUB FUNDS, INC.
June 23, 1999 - July 24, 2006
HANTZ FINANCIAL SERVICES, INC.
December 19, 1997 - June 25, 1999
VESTAX SECURITIES CORPORATION
March 7, 1996 - October 28, 1997
IDS LIFE INSURANCE COMPANY
March 7, 1996 - October 28, 1997
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
(8/15/2007)
Exams
FINRA
Nasdaq Stock Market
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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