Connie D. Gist
Professional summary
Connie Darnell Gist is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Beaumont, Texas.
Connie is registered as a RR (Registered Representative) and started their career in finance in 2001. Connie has worked at 2 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 Connie Darnell Gist's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2007 - Present
SIGMA FINANCIAL CORPORATION
September 25, 2001 - January 31, 2007
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/17/2021)
(2/6/2007)
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 |
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