Kim C. Kantor
CICCARELLI ADVISORY SERVICES | President
NAPLES, FL 34103
Some features on this profile are disabled
CRD#: 1106058
Professional summary
Kim Ciccarelli Kantor, CFP®, who also goes by Kim Ciccarelli Banta, Kim Ciccarelli Banta, Kim Ann Ciccarelli, is a registered financial advisor currently at CICCARELLI ADVISORY SERVICES INC located in Naples, Florida and OSAIC WEALTH, INC. located in Naples, Florida.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kim has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Trust & estate planning
Insurance
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Kim Ciccarelli Banta | Kim Ciccarelli Banta | Kim Ann Ciccarelli
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) PARTNER IN HOLDING CO. BUILDING 101D LLC, REAL ESTATE LLC.NOT INVESTMENT-RELATED,NO COMP. RECEIVED,ZERO HRS SPENT ON ACTIVITY. 2) NINETY SIX 01,LLC POSIT:MEMBER NATURE:LLC INVESTMENT RELATED:YES NUMBER OF HRS:2 INVESTMENT RELATED HRS:0 START DATE: 06/30/2013;ADDR:9601 TAMIAMI TRAIL N, NAPLES FL 34108;DESCR: MEMBER 3) CAS ADVISORY MGMT,LLC POSIT:Managing Partner NATURE:LLC INVESTMENT RELATED:NO NUMBER OF HRS:2 SECURITIES TRADING HRS:0 START DATE:02/08/2001;ADDR: 9601 Tamiami Trail N, Naples FL 34108;DESCR: Managing Partner 4) NCH HEALTHCARE SYSTEM POSIT:Fdtn Committee Member NATURE:Not for profit 501(c)(3) org INVESTMENT RELATED:No NUMBER OF HRS:5 SECURITIES TRADING HRS:0 START DATE:01/01/2009;ADDR:350 7th St N, Naples FL 34102.DESCR:Finance Committee member 5) KIM KANTOR POSIT:Statutory Agent-NATURE: Sole Proprietorship-INVESTMENT RELATED:Yes NUMBER OF HRS:1SECURITIES TRADING HRS:1 START DATE:03/01/1983.ADDR:9601 Tamiami Trl N,Naples FL 34108,United States DESCR:insurance agent ADDR:9601 TAMIAMI TRL N NAPLES FL 34108,DESCR:Insurance Agent 6) SPERLONGA PROPERTIES LLC POSIT:Member NATURE:LLC INVESTMENT RELATED:Yes NUMBER OF HRS:2 SECURITIES TRADING HRS:2 START DATE:06/01/2020;ADDR:285 Grande Way,1202,Naples FL 34110 DESCR:Real estate ownership 7) CICCARELLI ADVISORY SERVICES, INC POSIT:Other-Registered with corporate RIA NATURE:RIA;INVESTMENT RELATED:Yes NUMBER OF HRS:40 SECURITIES TRADING HRS:160 START DATE:01/01/2021.ADDR:9601 Tamiami Trl N Naples FL 34108 DESCR: Financial Planning in investment advisory firm 8) NOTARY PUBLIC POSIT:Notary Public NATURE:Notary public INVESTMENT RELATED:Yes NUMBER OF HRS:1 SECURITIES TRADING HRS:1 START DATE:09/21/1999.ADDR:285 Grande Way,#1202, Naples FL 34110 DESCR:Acknowledge execution-understanding of signor for purpose&contents of document. 9) NCH HEALTHCARE SYSTEMS POSIT:Chair Professional Advisors Committee NATURE:Community Hospital-Health Care System INVESTMENT RELATED:No NUMBER OF HRS 2 SECURITIES TRADING HRS:1 START DATE:07/01/2022 ADDR:350 Seventh St.N, Naples FL 34102 DESCR:Facilitate meetings for NCH Professional Advisors Council. Help educate professional community on H/C system &build advocacy. 10) NAPLES REALTY SVCS, INC (S-CORP) POSIT:realtor NATURE:Real estate license.Hold real estate license, make referrals to other agents on limited basis.Member of NABOR. INVESTMENT RELATED:Yes NUMBER OF HRS:1 SECURITIES TRADING HRS:0 START DATE:09/01/2024 ADDR:1100 Fifth Ave S, Ste 409, Naples FL 34102 DESCR:licensed realtor 11) FGCU FOUNDATION BOARD OF DIRECTORS POSIT:board memberNATURE:Part of Florida State Univ System,non profit INVESTMENT RELATED:No NUMBER OF HRS:3 SECURITIES TRADING HRS:3 START DATE:07/31/2024 ADDR: 11090 FGCU Blvd N,Fort Myers FL 33965 DESCR:Ensure mission-purpose of Foundation are being fulfilled&applicable policies-procedures are being followed. Attend Board meetings to be up to date with University academics, student offerings, metrics, financials for FDN. Provide sounding board for President with respect to growing student body, offerings &increasing donor awareness.I do not receive assets nor have any control over the finances of University. 12) CONSERVANCY OF SOUTHWEST FLORIDA POSIT:Planned Giving CMTE member NATURE:Not for Profit 501(c)(3) organization INVESTMENT RELATED:No NUMBER OF HRS:1 SECURITIES TRADING HRS:0 START DATE:01/01/2007 ADDR:1495 Smith Preserve Way,Naples FL 34102 DESCR: CMTE Member 13) COMMUNITY FOUNDATION OF COLLIER COUNTY POSIT:Ttee Emeriti NATURE:Non Profit 501(c)(3) Organization INVESTMENT RELATED:No NUMBER OF HRS:1 SECURITIES TRADING HRS:1 START DATE:06/01/2017 ADDR:1110 Pine Ridge Road #200 Naples FL 34108 DESCR:Attend monthly meetings 14) CAS ADVISORY MANAGEMENT, LLC POSIT:Managing Partner NATURE: LLC INVESTMENT RELATED:No NUMBER OF HRS: 4 SECURITIES TRADING HRS:0 START DATE:02/08/2001 ADDR:9601 Tamiami Trail N,Naples FL 34108, United States DESCRIPT:Managing Partner entity is administration bill paying&operating business
CRS (Client Relationship Summary) - RIA
Click below to view Kim Ciccarelli Kantor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Ciccarelli Kantor'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: 1987
Experience
Current
May 9, 1986 - Present
CICCARELLI ADVISORY SERVICES INC
Office #1: 3066 Tamiami Trail North, #202, Naples, FL 34103RIA
CRD#: 110904
NAPLES, FL
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 9601 Tamiami Trail North, Naples, FL 34108RIA
BD
CRD#: 23131
Naples, FL
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 9601 Tamiami Trail North, Naples, FL 34108RIA
BD
CRD#: 23131
Naples, FL
Past
September 25, 1992 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NAPLES, FL
Past
April 13, 1984 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NAPLES, FL
Past
March 24, 1983 - April 27, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(11/3/2023)
RR
Arizona(11/3/2023)
RR
Arkansas(11/3/2023)
RR
California(11/3/2023)
RR
Colorado(11/3/2023)
RR
Connecticut(11/3/2023)
RR
District of Columbia(11/3/2023)
IAR
Florida(5/9/1986)
RR
Florida(11/3/2023)
RR
Georgia(11/3/2023)
RR
Illinois(11/3/2023)
RR
Indiana(11/3/2023)
RR
Iowa(11/3/2023)
RR
Kansas(11/3/2023)
RR
Kentucky(11/3/2023)
RR
Maine(11/3/2023)
RR
Maryland(11/3/2023)
RR
Massachusetts(11/3/2023)
RR
Michigan(11/3/2023)
RR
Minnesota(11/3/2023)
RR
Mississippi(11/3/2023)
RR
Missouri(11/3/2023)
RR
Montana(11/3/2023)
RR
New Hampshire(11/3/2023)
RR
New Jersey(11/3/2023)
RR
New Mexico(11/3/2023)
RR
New York(11/3/2023)
RR
North Carolina(11/3/2023)
RR
Ohio(11/3/2023)
RR
Oklahoma(11/3/2023)
RR
Pennsylvania(11/3/2023)
RR
Rhode Island(11/3/2023)
RR
South Carolina(11/3/2023)
RR
Tennessee(11/3/2023)
RR
Texas(11/3/2023)
RR
Utah(11/3/2023)
RR
Virginia(11/3/2023)
RR
Washington(11/3/2023)
RR
West Virginia(11/3/2023)
RR
Wisconsin(11/3/2023)
RR
Wyoming(11/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Mailing Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 821-5100
Established
Delaware since 08/05/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
8,717
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
