Individual Firm
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DOUGLAS ALAN VANDERSTELT
CRD#: 4051413
IA
B
SPCCRD#: 110692 1339 Horton Rd., Suite B
Jackson, MI 49203
Jackson, MI 49203
SIGMA FINANCIAL CORPORATIONCRD#: 14303 1339 Horton Rd., Suite B
Jackson, MI 49203
Jackson, MI 49203
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2/5/1997
Criminal
Final Disposition
State Registrations
B
Arizona 1/4/2019
B
North Carolina 5/7/2021
B
California 7/5/2006
B
Ohio 3/16/2018
B
Florida 7/5/2006
B
Tennessee 1/15/2021
B
Michigan 7/5/2006
IA
Texas 10/16/2018
IA
Michigan 1/29/2010
B
Texas 6/8/2023
B
Missouri 6/7/2011
B
Virginia 3/25/2021
SRO Registrations
B
B
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IA
Registered with this firm since 1/29/2010
B
Registered with this firm since 7/5/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/11/2005 - 07/05/2006 | JACKSON, MI | |
B | 05/24/2000 - 05/10/2005 | ST. LOUIS, MO |
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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.