John N. Leach
Professional summary
John Nicholas Leach, who also goes by Nick Leach, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Fort Wayne, Indiana.
John is registered as a RR (Registered Representative) and started their career in finance in 2021. John has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Nicholas Leach's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2024 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 9933 Dupont Circle Dr. W Ste. 110, Fort Wayne, IN 46825February 3, 2021 - December 31, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2024)
Exams
Series 7TO
Date: 12/16/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/3/2021
Investment Company Products/Variable Contracts 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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Company Information
SIGMA FINANCIAL CORPORATION
CRD#: 14303Fort Wayne, IN 46825TRUST BUT VERIFY
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