Individual Firm
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WILLIAM CARL DYHR
CRD#: 2083695
IA
B
SPCCRD#: 110692 Hartland, WI
SIGMA FINANCIAL CORPORATIONCRD#: 14303 Hartland, WI
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2/1/2010
Customer Dispute
Settled
State Registrations
B
Colorado 1/10/2023
B
Ohio 3/13/2018
B
Florida 5/4/2010
IA
Ohio 3/31/2022
B
Georgia 5/4/2010
B
South Carolina 4/26/2016
B
Illinois 5/4/2010
IA
Utah 6/22/2020
B
Missouri 6/17/2015
B
Wisconsin 5/4/2010
B
New Jersey 2/24/2015
IA
Wisconsin 11/14/2024
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/04/2010 - 12/31/2010 | CHICAGO, IL | |
B | 06/30/2004 - 05/04/2010 | CHICAGO, IL | |
IA | 03/14/2005 - 10/26/2009 | CHICAGO, IL | |
IA | 07/03/2003 - 07/06/2004 | BARRINGTON, IL | |
B | 05/02/2001 - 07/06/2004 | DETROIT, MI | |
B | 02/17/1995 - 04/30/2001 | CHICAGO, IL | |
B | 07/21/1994 - 02/24/1995 | NEW YORK, NY | |
B | 07/12/1991 - 08/09/1994 | ||
B | 08/23/1990 - 07/17/1991 |
For additional information about investment advisers or broker-dealers, please visit
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.