Nelson W. Schlaff
Professional summary
Nelson Wilbur Schlaff JR, who also goes by Nick Schlaff Jr, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Grosse Pointe Farms, Michigan.
Nelson is registered as a RR (Registered Representative) and started their career in finance in 1971. Nelson has worked at 4 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nelson Wilbur Schlaff JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2019 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 21 Kercheval Ave. Ste. 279, Grosse Pointe Farms, MI 48236April 7, 2011 - February 19, 2019
QUESTAR CAPITAL CORPORATION
December 2, 1992 - June 19, 2002
JOHN HANCOCK DISTRIBUTORS LLC
November 24, 1992 - April 7, 2011
SIGMA FINANCIAL CORPORATION
August 20, 1982 - November 19, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 20, 1971 - October 26, 1982
JOHN HANCOCK DISTRIBUTORS 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
(2/14/2019)
(6/13/2019)
(6/18/2019)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 9/16/1971
Registered Representative ExaminationFINRA
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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