Kendall Tapp Email & Phone Number

Ann Arbor, Mi

• Performing daily review of sales between 900+ investment advisors, and clients in order to ensure appropriate suitability review, and compliance with FINRA rules and regulations • Provide education to investment advisors regarding the necessary rules and regulations as they pertain to Sigma Financial Corporation and FINRA relating to areas including but not limited to Anti Money Laundering, Auditing, Advertising review, Sales review, Email communication, and Complaints• Monitor and track regulatory notices, rule changes, and current events surrounding designated business/operations units•Monitor and track post trade review system Protegent as it pertains to firm risk management Securities offered through Sigma Financial Corporation, member FINRA (www.FINRA.org)/SIPC (http://www.SIPC.org). Investment Advisory services offered through SPC, a Registered Investment Advisor.This communication is strictly for general purposes and is not an offer to sell or solicit any security. For regulatory purposes, we cannot respond to emails through this site and any individualized follow-up involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where the registered representative is not registered. Third party posts found on this profile have not been reviewed for accuracy or completeness by nor do they reflect the views of Sigma Financial Corporation or SPC. Furthermore, to ensure compliance with certain SEC and FINRA rules, we do not use client testimonials on social media sites; this includes receiving and or posting recommendations or endorsements.

Ann Arbor, Mi

• Educate financial advisers about various ticket charges, understanding of various products and services, and the placing of securities trades through internal trading platforms• Verify and communicate trade information for increased accuracy, as well as changing or cancelling existing trade instructions in a time sensitive manner• Research, prepare, and provide securities quotes to financial advisers• Assist and place securities trade instructions for financial advisors

Ann Arbor, Mi

• Support financial analytics manager by preparing allocations files, reconciling key information, and uploading into valuation component systems for future forecasting of loan pipeline• Provide timely reporting of financial analysis to functional departments for preparation and delivery of loans to chosen agencies• Ensure valuation components are up-to-date and accurate through regularly scheduled system audits including reconciliations between • Market research and maintenance of specified and investor specific price adjustments to ensure accurate best execution results• Execute and maintain key reporting metrics

Ann Arbor, Mi

• Use business development techniques to strengthen client relationships, and offer solutions to meet client needs• Educate clients about the stock market including understanding of various products, fundamentals of investing, technical analysis, portfolio valuation tools, etc. • Verify and communicate information such as market prices, correlations, interest rates, volatility and portfolio valuation• Daily analyzing of reports such as Margin Risk, Remote Deposit Capture, Long and Short Options, and Client Account Audit Report and communicating findings with Branch Manager and Compliance in a timely manner. • Coordination and facilitation of bi-monthly informational seminars on aspects of personal and business financial management providing customer education and interaction. (I.e. Options, Mutual Funds and ETF’s, Advanced Technical Analysis, Analyzing the Fundamentals, etc.)

Bachelor Of Business Administration - Bba, Accounting, 3.5

Bachelor Of Business Administration - Bba, Finance

Activities and Societies: - Member of the Ethos Honor Society, for ethical business practices (participant in workshops and seminars).