Gale Strenger Wayne

SIGMA FINANCIAL

Lake Bluff, IL 60044

Some features on this profile are disabled

CRD#: 727547

Professional summary

Gale Strenger Wayne, who also goes by Gale K Strenger, Gale Karna Strenger, Gale Karna Strenger Wayne, is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Lake Bluff, Illinois.

Gale is registered as a RR (Registered Representative) and started their career in finance in 1981. Gale has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gale K Strenger | Gale Karna Strenger | Gale Karna Strenger Wayne

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 Gale Strenger Wayne'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

November 4, 1998 - Present

SIGMA FINANCIAL CORPORATION

Office #1: 900 North Shore Dr. Suite 239, Lake Bluff, IL 60044

CRD#: 14303

Lake Bluff, IL

Past

December 13, 1995 - February 6, 1997

LUMIERE SECURITIES, INC.

CRD#: 13414

DENVER, CO

Past

April 11, 1992 - December 31, 1994

LEE HARRIS AND COMPANY

CRD#: 10617

CHICAGO, IL

Past

December 5, 1988 - May 7, 1990

JMB SECURITIES CORPORATION

CRD#: 5862

Past

December 9, 1985 - May 7, 1990

JMB SECURITIES CORPORATION

CRD#: 5862

Past

May 12, 1982 - December 21, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 23, 1981 - March 26, 1982

CIBC WORLD MARKETS CORP.

CRD#: 630

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
(1/13/2022)

California
(1/13/2022)

Florida
(1/13/2022)

Illinois
(11/4/1998)

Indiana
(1/13/2022)

Iowa
(1/13/2022)

Maryland
(1/13/2022)

Michigan
(1/2/2019)

Minnesota
(1/13/2022)

Missouri
(2/23/2023)

Ohio
(7/5/2023)

South Dakota
(1/13/2022)

Texas
(1/13/2022)

Wisconsin
(1/13/2022)

Exams

State Security Law Exam

Series 63

Date: 8/5/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1981

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SIGMA FINANCIAL CORPORATION

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

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Jason Erickson

VAN AKE CAPITAL LLC

IAR

WINNETKA, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gale Strenger Wayne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gale Strenger Wayne's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUMIERE SECURITIES, INC.

LEE HARRIS AND COMPANY

JMB SECURITIES CORPORATION

JMB SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1982

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1981

FINRA

Nasdaq Stock Market

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

Similar Advisors