SIGMA PLANNING CORPORATION of ANN ARBOR, MI is an SEC-registered investment adviser (CRD 110692). Regulatory assets under management: $6.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Jerome Stanley Rydell | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020; TRUSTEE | — |
| Brandon David Rydell | PRESIDENT; PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Dana Elise Rhodes | CHIEF OPERATING OFFICER; SENIOR VICE PRESIDENT OF ADVISORY SERVICES | — |
| Mark Ralph Steinman | AVP OPERATIONS; MANAGER OF SPC DEPARTMENT | — |
| Andrew David Kilbarger | CHIEF COMPLIANCE OFFICER | — |
| Ryan Daniel Wooton | CHIEF FINANCIAL OFFICER | — |
| John Alexander Mcclellan | CHIEF RISK AND BUSINESS OFFICER | — |
| Randolph Fulvio Pistor | CHIEF LEGAL OFFICER | — |
| 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; OWNER; PRESIDENT (+1 more) | — |
| BROOKS MICHAEL JOHN | VICE PRESIDENT; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| MCCLELLAN JOHN ALEXANDER | CHIEF COMPLIANCE OFFICER | — |
| BACARELLA ANTHONY SANTO | DIRECTOR OF CASE PLANNING; DIRECTOR OF CASE PLANNING / EXECUTIVE MEMBER | — |
| RYDELL BRANDON DAVID | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND PRESIDENT; PRESIDENT (+1 more) | — |
| BACARELLA JENNIFER LYNN | DIRECTOR OF LICENSING AND FIRM DEVELOPMENT / EXECUTIVE MEMBER | — |
| HOLZER AMY KIM | DIRECTOR OF SIGMA PLANNING CORPORATION | — |
| PISTOR RANDOLPH FULVIO | CHIEF COMPLIANCE OFFICER AND CHIEF LEGAL OFFICER | — |
| RHODES DANA ELISE | SENIOR VICE PRESIDENT OF ADVISORY SERVICES | — |
| STEINMAN MARK RALPH | MANAGER OF SPC DEPARTMENT | — |
| Luedeman Lars | CHIEF FINANCIAL OFFICER | — |
| KILBARGER ANDREW DAVID | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-19 | regulatory | FIRST, DURING THE PERIOD 1/1/2013 THROUGH 3/1/2017, SPC PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH ADVISORY CLIENTS WERE ELIGIBLE. SPC RECEIVED 12B-1 FEES DIRECTLY FROM ITS THI… | Final | $400K |
| — | regulatory | — | — | — |