Individual Firm
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ROBERT ALLEN MARKLEY
CRD#: 1874805
IA
B
SPCCRD#: 110692 ANN ARBOR, MI
SIGMA FINANCIAL CORPORATIONCRD#: 14303 ANN ARBOR, MI
0
Disclosures
36
Years of Experience
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State Registrations
B
Florida 12/9/2020
IA
Michigan 12/7/2009
B
Michigan 5/22/1995
B
Ohio 8/9/2018
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/28/1995 - 05/22/1995 | ||
B | 11/01/1988 - 04/28/1995 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.