Thomas J. Zitzmann
Professional summary
Thomas James Zitzmann, who also goes by Tom Zitzmann, Tommy Zitzmann, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Mandeville, Louisiana.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1974. Thomas has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Zitzmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2014 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 847 Galvez St Suite 100-d, Mandeville, LA 70448December 9, 2009 - December 31, 2013
CADARET, GRANT & CO., INC.
November 18, 2008 - December 31, 2013
CADARET, GRANT & CO., INC.
January 1, 2008 - December 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
April 8, 1996 - January 9, 2002
CAPITAL ONE INVESTMENTS, LLC
November 23, 1990 - April 9, 1996
MARQUIS INVESTMENTS, L.L.C.
October 25, 1988 - July 9, 1990
J.C. BRADFORD & CO.
July 18, 1974 - October 26, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2014)
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(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(8/30/2019)
(1/2/2014)
(1/2/2014)
(12/19/2019)
(1/2/2014)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 7/5/1979
AMEX Put and Call ExamSeries 1
Date: 7/13/1974
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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