Gary C. Slauter

SIGMA FINANCIAL

Ann Arbor, MI 48103

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CRD#: 721838

Professional summary

Gary Clare Slauter, AIF® is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Ann Arbor, Michigan.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1981. Gary has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Gary Clare Slauter'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 6, 1997 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103

CRD#: 14303

Ann Arbor, MI

Past

June 25, 1986 - February 26, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

February 14, 1985 - June 17, 1986

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

Past

February 21, 1984 - December 19, 1984

MUTUAL SERVICE CORPORATION

CRD#: 4806

Past

January 20, 1981 - February 15, 1984

VP DISTRIBUTORS LLC

CRD#: 3036

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

Arizona
(8/12/2010)

California
(2/11/1997)

Florida
(6/14/2024)

Illinois
(10/19/2012)

Michigan
(2/6/1997)

Ohio
(5/15/2006)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 5/6/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

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Gary C. Slauter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Clare Slauter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

AMERITAS INVESTMENT COMPANY, LLC

MUTUAL SERVICE CORPORATION

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1999

Series 63

Date: 1/15/1981

SIE

Date: 10/1/2018

Series 22

Date: 5/6/1985

Series 6

Date: 1/13/1981

FINRA

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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