Financial Corporation At A Glance Headquarters: Year Founded: 1983 by Jerry Rydell (Jerry owns 100% of Sigma Financial and is still active in the day to day operations.) Number of Back Office Employees: 108 Case Planning Dept. 18 Commissions Dept. 8 – – Compliance Dept. 23 Technology Dept. 10 – – Direct Business Dept. 3 Firm Development Dept. 6 – – Trading Dept. & Operations Dept. 16 Licensing Dept. 6 – – SPC Dept. 12 Reception/Mail Dept. 4 – – Administrative Dept. - 2 Number of Registered Representatives: ~554 Retail Brokerage Clearing Firm: National Financial Services 24,423 Retail accounts with $2.5 Billion AUM Fidelity Institutional Wealth Services Advisory Clearing Firm: 20,893 Advisory accounts with $3.25 Billion AUM Third party money managers and hourly planning available through SPC, Sigma’s affiliated Registered Investment Advisory firm. Errors and Omissions insurance: $10,000 deductible (most products) and coverage of $2 Million per representative through CalSurance. Client Website: www.Sigma4Clients.com and www.SPC4Clients.com Recruit Website: www.joinsigma.com Mandatory Monthly Fees: $274 for Standard Errors & Omissions coverage OR $344 for Alternative Investment Rep Errors & Omissions coverage $185 Affiliation Fee
Financial Corporation At A Glance Headquarters: Year Founded: 1983 by Jerry Rydell (Jerry owns 100% of Sigma Financial and is still active in the day to day operations.) Number of Back Office Employees: 108 Case Planning Dept. – 18 Commissions Dept. – 8 Compliance Dept. – 23 Technology Dept. – 10 Direct Business Dept. – 3 Firm Development Dept. – 6 Trading Dept. & Operations Dept. – 16 Licensing Dept. – 6 SPC Dept. – 12 Reception/Mail Dept. – 4 Administrative Dept. - 2 Number of Registered Representatives: ~554 Retail Brokerage Clearing Firm: National Financial Services 24,423 Retail accounts with $2.5 Billion AUM Advisory Clearing Firm: Fidelity Institutional Wealth Services 20,893 Advisory accounts with $3.25 Billion AUM Third party money managers and hourly planning available through SPC, Sigma’s affiliated Registered Investment Advisory firm. Errors and Omissions insurance: $10,000 deductible (most products) and coverage of $2 Million per representative through CalSurance. Client Website: www.Sigma4Clients.com and www.SPC4Clients.com Recruit Website: www.joinsigma.com Mandatory Monthly Fees: $274 for Standard Errors & Omissions coverage OR $344 for Alternative Investment Rep Errors & Omissions coverage $185 Affiliation Fee
SIGMA%20Stats%202018.docx