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MP

Manuel A. Pfaff

SIGMA FINANCIAL
Irvine, CA 92620
Some features on this profile are disabled
CRD#: 6826003
MP
Manuel Anthony PfaffSIGMA FINANCIAL

Professional summary

Manuel Anthony Pfaff, who also goes by Anthony Pfaff, Manuel Pfaff, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Irvine, California.

Manuel is registered as a RR (Registered Representative) and started their career in finance in 2018. Manuel has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Anthony Pfaff | Manuel Pfaff

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 Manuel Anthony Pfaff'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®
None

Experience

Current

June 30, 2026 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 6230 Irvine Blvd #538, Irvine, CA 92620
BD
CRD#: 14303
Irvine, CA
Past

January 2, 2024 - June 30, 2026

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Cerritos, CA
Past

February 28, 2018 - December 31, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CERRITOS, CA

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(6/30/2026)
RR
Arizona
(6/30/2026)
RR
California
(6/30/2026)
RR
Colorado
(7/1/2026)
RR
Florida
(6/30/2026)
RR
Georgia
(6/30/2026)
RR
Idaho
(6/30/2026)
RR
Kentucky
(6/30/2026)
RR
Minnesota
(6/30/2026)
RR
Mississippi
(6/30/2026)
RR
Nevada
(6/30/2026)
RR
Oklahoma
(6/30/2026)
RR
Tennessee
(6/30/2026)
RR
Texas
(6/30/2026)
RR
Utah
(6/30/2026)
RR
Virginia
(6/30/2026)
RR
Washington
(6/30/2026)
RR
Wisconsin
(6/30/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/28/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
SIGMA FINANCIAL CORPORATION
SIGMA FINANCIAL CORPORATION

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

BD
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

NamePositionCRD#
THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020TRUST (OWNER OF ALL VOTING SHARES)
MCCLELLAN, JOHN ALEXANDERCHIEF RISK AND BUSINESS OFFICER4016479
PHILLIPS, RICHARD THOMASCHIEF COMPLIANCE OFFICER6041363
PISTOR, RANDOLPH FULVIOCHIEF LEGAL OFFICER5143334
RYDELL, BRANDON DAVIDPRESIDENT2933397
RYDELL, JEROME STANLEYCEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020408389
WOOTON, RYAN DANIELCHIEF FINANCIAL OFFICER8006797

Disclosures

Regulatory Event15
Arbitration11

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SIGMA FINANCIAL CORPORATION

CRD#: 14303Irvine, CA 92620

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