Full text of SIGMA FINANCIAL CORPORATION's X-17A-5 filed 2022-03-29 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Sigma Financial Corporation Financial Report December 31, 2021 Filed as PUBLIC information pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB Number: 3235-0123 | |---------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | SEC FILE NUMBER | | 8-30466 | OMB APPROVAL ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|--------------------------------------------|--|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: Sigma Financial Corporation | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>_ Security-based swap dealer<br>_ Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 300 Parkland Plaza | | | | | | | | | | (No. and Street) | | | | | | | | Ann Arbor | MI | | 48103 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Brandon Rydell | 734-663-1611 | | brydell@bdops.com | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNT ANT DENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling *<br>RSM US LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 30 South Wacker Dr, Suite 3300 | Chicago | IC | 60606 | | | | | | (Address) | (City) | | (Zip Code)<br>(State) | | | | | | 09/24/2003 | | 49 | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public…Read the full text as markdown