John McClellan has been Chief Risk and Business Officer of Sigma Planning since April 2025, is a control person of the firm and directly owns under 5% of it.
Sigma Planning Corporation is an Ann Arbor, MI firm with $6.1B under management, 30,916 clients and 471 advisers across 337 offices, as of its May 2026 filing.
John McClellan is Chief Risk and Business Officer of Axtella. He previously held the title of Chief Compliance Officer for 15 years. He leads a team of 35 associates and oversees firm regulatory communications, branch office audits, sales supervision, and communications with the public review.
Investment adviser representative registrations
John McClellan is registered as an investment adviser representative in Michigan, since November 2009.
- MichiganSince 10 November 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 2 June 2003 |
| Series 53 | Municipal Securities Principal Examination | 30 December 2002 |
| Series 4 | Registered Options Principal Examination | 23 September 2002 |
| Series 24 | General Securities Principal Examination | 11 October 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 May 2000 |
| Series 7 | General Securities Representative Examination | 1 May 2000 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Alexander McClellan
- CRD
- 4016479
- Firm
- Sigma Planning · CRD 110692
- Role
- Chief Risk and Business Officer
- Office
- 300 PARKLAND PLAZA, Ann Arbor, MI 48103
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- axtella.com
Where does John McClellan work?
John McClellan has been Chief Risk and Business Officer of Sigma Planning Corporation since April 2025, and is a control person of the firm.
Is John McClellan a financial advisor?
Yes. John McClellan has a current investment-adviser registration in Michigan, through Sigma Planning since October 2009.
How many years of experience does John McClellan have?
John McClellan has 26 years in the financial industry, since May 2000, across 1 adviser firm.
What exams has John McClellan passed?
John McClellan has passed 9 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 53, Series 28, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in May 2000. FINRA credited John McClellan with the SIE, which began in October 2018.
Where is John McClellan based?
John McClellan’s registered office is in Ann Arbor, MI.
Is John McClellan registered with FINRA?
Yes. John McClellan has a current broker registration, under CRD 4016479.
Source: FINRA BrokerCheck
How can I verify John McClellan’s record?
Search CRD 4016479 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John McClellan’s full registration record.
