Keith H. Werling
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.
Keith Henry Werling, who also goes by Keith H Werling, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1998. Keith had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2017 - November 14, 2024
SIGMA FINANCIAL CORPORATION
September 30, 2013 - September 9, 2016
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 4, 2011 - September 16, 2013
SIGMA FINANCIAL CORPORATION
November 11, 2008 - March 24, 2010
RAYMOND JAMES & ASSOCIATES, INC.
February 28, 2008 - September 3, 2008
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 1, 2007 - February 15, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 14, 2000 - May 1, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 14, 2000 - May 22, 2007
OSAIC FA, INC.
March 5, 1998 - March 18, 1999
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
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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