Sigma Planning Corporation / Sigma Financial Corporation

Sigma Financial Corporation / Sigma Planning Corporation

Office of Supervisory Jurisdiction

300 Parkland Plaza ● Ann Arbor, MI 48103 ● 734-663-1611

Sigma Planning Corp (SPC) – founded 1984

Sigma Financial Corp – founded 1983

Wealth Strategies Group, LLC is not affiliated with Sigma Financial Corporation or Sigma Planning Corporation

Charles Vercellone is contracted through Sigma Financial Corporation and Sigma Planning Corporation to provide financial products and services to clients

Investment advisory services offered through Sigma Planning Corporation, A Registered Investment Advisor

Securities offered through Sigma Financial Corp, Member FINRA/SIPC

Sigma Planning Corporation and Sigma Financial Corporation provides us with compliance review, a brokerage account trading platform, back office support, technology, and various products and services that enable us to provide complete service to our clients.

The Home Office Case Planning Department:

• Retirement Planning
• Estate Planning
• College Funding
• Survivor Needs
• Investment Related Tax Strategies
• Investment Planning
• Portfolio Analysis
• Online Account Access

Freedom of Choice:

Your needs and individual goals are unique and so are your investment choices. Sigma Planning Corporation and Sigma Financial Corporation provides you and your financial professional the freedom to decide what investments are appropriate for you. Here are a few of the investment alternatives available:

• Thousands of Mutual Funds
• Institutional Account Managers
• Dozens of Retirement Plans
• Common and Preferred Stocks
• Stock Options
• Corporate, Munis and Government Securities
• Certificates of Deposit (CDs)
• Long-term Care and Disability Insurance
• Top Variable & Fixed Annuities
• Leading Life Insurance Products
• Alternate Investments and REITs

Brokerage Platforms:

Sigma Planning Corporation and Sigma Financial Corporation provides 2 platforms for brokerage accounts. These platforms provide us with custodial services, including but not limited to trading, monthly account statements, and tax reporting. These platforms are:

• Fidelity Institutional Wealth Services (FIWS) for Fee-Based accounts through Sigma Planning Corp
  • Fidelity Institutional Wealth Services, Member FINRA/SIPC
• National Financial Services (NFS) for Retail-Based accounts through Sigma Financial Corp.
  • National Financial Services, Member FINRA/SIPC