EN
Eddie Ngo
SIGMA FINANCIAL
Redlands, CA 92373
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CRD#: 347460
EN
Professional summary
Eddie Ngo, CFP® is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in Redlands, California.
Eddie is registered as a RR (Registered Representative) and started their career in finance in 1969. Eddie has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. INTELETRAVEL - 209 N. SAINTON AVENUE DELRAY, FL 33444 /TRAVEL AGENT / 05/31/2010 /10 hours PER YEAR / 0 HOURS DURING TRADING HOURS / BOOK OWN/PERSONAL TRAVEL. 2. Sell life insurance through Kalligan/McQueen Agency and disability policies with Guardian Life. Approx. 3-5 policies/year. 3. Sit on the Seaver Board of Visitors for Pepperdine University in Malibu, CA. Non-paying board whose members support the school by making donations to fund scholarships, etc. Start date: 8/1/97, meet 2.5 hrs every 6 months. Not investment related. 4. Sit on the Hong Kong College Foundation Board. Make awards to the college and scholarships. Start date: 1/1/1980, approx. 6 hrs/year. Not investment related. 5. Contracted with Blue Cross for the writing of health insurance, term life and disability policies. Start date: 1/1/04, approx. 3-4 hrs/yr. 6. Edngofinancial, Inc. - personally owned corporation used to track business expenses. Start date: 6/1/22, approx. 4 hrs/mo.
CRS (Client Relationship Summary) - BD
Click below to view Eddie Ngo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1984
Experience
Current
October 31, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 222 E. Olive Ave Suite 2, Redlands, CA 92373BD
CRD#: 14303
Redlands, CA
Past
October 31, 2017 - December 31, 2023
SPC
RIA
CRD#: 110692
Redlands, CA
Past
September 13, 1999 - November 9, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
REDLANDS, CA
Past
September 1, 1999 - November 9, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
REDLANDS, CA
Past
February 24, 1984 - September 2, 1999
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
September 2, 1981 - March 7, 1984
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
December 21, 1970 - October 23, 1987
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
March 18, 1969 - October 28, 1987
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/31/2025)
RR
Arizona(10/31/2017)
RR
California(10/31/2017)
RR
Colorado(10/31/2017)
RR
Florida(10/31/2017)
RR
Georgia(10/31/2017)
RR
Hawaii(10/31/2017)
RR
Idaho(10/31/2017)
RR
Illinois(10/31/2017)
RR
Indiana(11/4/2020)
RR
Kentucky(10/7/2021)
RR
Louisiana(9/8/2020)
RR
Maryland(10/31/2017)
RR
Michigan(10/31/2017)
RR
Minnesota(10/31/2017)
RR
Missouri(9/8/2021)
RR
Montana(10/31/2017)
RR
Nebraska(10/31/2017)
RR
Nevada(10/31/2017)
RR
New Hampshire(1/8/2019)
RR
New Jersey(5/21/2021)
RR
New Mexico(7/22/2021)
RR
New York(10/31/2017)
RR
North Carolina(10/31/2017)
RR
Ohio(10/31/2017)
RR
Oklahoma(10/31/2017)
RR
Oregon(10/31/2017)
RR
Tennessee(10/31/2017)
RR
Texas(10/31/2017)
RR
Utah(10/31/2017)
RR
Virginia(10/31/2017)
RR
Washington(10/31/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/12/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
SIGMA FINANCIAL CORPORATION
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103-9508
Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103-9508
Phone number
(734) 663-1611
Established
Michigan since 09/20/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SIGMA FINANCIAL CORPORATION
CRD#: 14303Redlands, CA 92373TRUST BUT VERIFY
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