Joo King Ting

SIGMA FINANCIAL

Orlando, FL 32803

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CRD#: 4229892

Professional summary

Joo King Ting, CFP®, who also goes by John Ting, Joo King Ting, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Orlando, Florida.

Joo King is registered as a RR (Registered Representative) and started their career in finance in 2000. Joo King has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Ting | Joo King Ting

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joo King Ting's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 11, 2005 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 1631 Woodward St, Orlando, FL 32803

CRD#: 14303

Orlando, FL

Past

May 17, 2005 - December 31, 2005

SPC

RIA

CRD#: 110692

ORLANDO, FL

Past

October 25, 2002 - May 23, 2005

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

September 7, 2000 - October 1, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ORLANDO, FL

Past

September 6, 2000 - October 1, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/11/2005)

Indiana
(6/26/2025)

Nevada
(2/11/2020)

North Carolina
(7/3/2019)

South Carolina
(1/15/2018)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/14/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/17/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/5/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SIGMA FINANCIAL CORPORATION

CRD#: 14303 / SEC#: , 8-30466

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

300 Parkland Plaza, Ann Arbor, MI 48103-9508

Mailing Address

300 Parkland Plaza, Ann Arbor, MI 48103-9508

Phone number

(734) 663-1611

Established

Michigan since 09/20/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Joo King Ting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joo King Ting's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

WESTERN INTERNATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2000

SIE

Date: 10/1/2018

Series 31

Date: 10/17/2000

Series 7

Date: 9/5/2000

FINRA

Nasdaq Stock Market

Current Firm

SIGMA FINANCIAL CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIGMA FINANCIAL CORPORATION

TRUST BUT VERIFY

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