JH
James R. Heyworth
SIGMA FINANCIAL
Ann Arbor, MI 48103
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CRD#: 7676885
JH
Professional summary
James Ronald-anthony Heyworth is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Ann Arbor, Michigan and PARKLAND SECURITIES, LLC located in Ann Arbor, Michigan.
James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has worked at 2 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view James Ronald-anthony Heyworth's 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®
NoneExperience
Current
May 1, 2023 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103BD
CRD#: 14303
Ann Arbor, MI
Current
May 4, 2023 - Present
PARKLAND SECURITIES, LLC
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103BD
CRD#: 115368
Ann Arbor, MI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 5/1/2023
Operations Professional ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PARKLAND SECURITIES, LLC
PARKLAND SECURITIES, LLC | SAMMONS SECURITIES COMPANY, LLC
CRD#: 115368 / SEC#: , 8-53482
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
Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103
Phone number
(734) 663-1611
Established
Delaware since 07/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| BAUER, KRISTEN ANNE | TRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | 2457506 |
| DUNBAR, THERESA LYNN | TRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | 7346975 |
| ELLISON, CARL | TRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/2020 | 7342594 |
| 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 AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | 2933397 |
| RYDELL, JEROME MATTHEW | TRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | 7346979 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED | 408389 |
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING INTERESTS) | |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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