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Detailed Report
DENNIS RICHARD MARBURGER
CRD#: 720683
IA
Investment Adviser
B
Broker
SPCCRD#: 110692 5750 NEW KING STREET
SUITE 310
TROY, MI 48098
SIGMA FINANCIAL CORPORATIONCRD#: 14303 5750 NEW KING STREET
SUITE 310
TROY, MI 48098
Registration History
19801985199019952000200520102015202020252 FIRMS1997 - 2011 (14 years)2 FIRMS2011 - Present (13 years)BNORTH AMERICAN FINANCIAL GROUP... (CRD# 22273)1994 - 1997 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1984 - 1994 (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1984 (2 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1980 - 1981 (<1 year)
Disclosure(s)
View By:
3/7/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Michigan 5/2/2011
B
Texas 5/2/2011
IA
Michigan 5/2/2011

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SPC (CRD#:110692)
5750 NEW KING STREET SUITE 310, TROY, MI 48098
Registered with this firm since 5/2/2011
B
SIGMA FINANCIAL CORPORATION (CRD#:14303)
5750 NEW KING STREET SUITE 310, TROY, MI 48098
Registered with this firm since 5/2/2011
Previous Registration(s)
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IA
 05/28/1997 - 05/04/2011 ING FINANCIAL PARTNERS, INC (CRD#:2882) TROY, MI
B
 05/28/1997 - 05/04/2011 ING FINANCIAL PARTNERS, INC. (CRD#:2882) TROY, MI
B
 06/03/1994 - 06/03/1997 NORTH AMERICAN FINANCIAL GROUP, INC. (CRD#:22273) WARREN, MI
B
 02/21/1984 - 06/08/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 10/13/1981 - 03/14/1984 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 12/29/1980 - 10/21/1981 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.