GH
Glen E. Holmes
OSAIC WEALTH
Grove City, OH 43123
Some features on this profile are disabled
CRD#: 1245565
GH
Professional summary
Glen Edward Holmes is a registered financial advisor currently at OSAIC WEALTH, INC. located in Grove City, Ohio.
Glen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Glen has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
HOLMES MANAGEMENT LLC - PRESIDENT POSITION: MEMBER NATURE: INSURANCE SALES INVESTMENT RELATED: YES HOURS: 10 INVESTMENT RELATED HOURS: 10 START DATE: 05/15/2005 ADDRESS: 3902 BROADWAY, GROVE CITY OH 43123 DESCRIPTION: PRESIDENT OVERSEEING ADMINISTRATION AND MANAGMENT I OWN A INDIVIDUAL SINGLE FAMILY HOME WHICH I RENT OUT. POSITION: OWNER /LAND LORD NATURE: BUSINESS, MARKETING, OTHER INVESTMENT RELATED: YES HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 04/07/2009 ADDRESS: 2659 REGINA AVE, COLUMBUS OH 43202 DESCRIPTION: COLLECT RENT HOLMES MANAGEMENT LLC INSURANCE AGENCY POSITION: INSURANCE AGENT NATURE: INSURANCE SALES INVESTMENT RELATED: YES NUMBER OF HOURS: 60 INVESTMENT RELATED HOURS: 30 START DATE: 05/15/2005 ADDRESS: 3902 BROADWAY, GROVE CITY OH 43123 DESCRIPTION: THE AGENCY PROVIDES CLIENTS WITH INSURANCE QUOTES AND INSURANCE CONSULTING SERVICE. GLEN E. HOLMES POSITION: Owner NATURE: Other OBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/15/2005 ADDRESS: 3902 Broadway, Grove City OH 43123 DESCRIPTION: Manage overall mainteanance HOLMES MANAGEMENT LLC. POSITION: President NATURE: Insurnace sales investment related: INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 20 START DATE: 03/31/2002 ADDRESS: 3902 Broadway, Grove City OH 43123, United States DESCRIPTION: Evaluate various forms of insurance to porvide risk transfer to an insurer. Life, Long term care, disability and health insurance. Holmes Managemet provides economic & investmentreserch to me personally.Personal responcabilities - Overseeing adminstation and managemt HOLMES MANAGEMENT LLC. POSITION: President NATURE: Limited Liability Compnay INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2002 ADDRESS: 3902 Broadway, Grove City OH 43123, United States DESCRIPTION: I own a individual single family home. This property is rented out and managed throgh Holmes Management LLC The address is 2659 Regina AveColumubs, Ohio 43204I also own and manage 3902 Broadway Grove City, Ohio 43123. This property is also the professional office and branch office location. GLEN HOLMES POSITION: Landlord NATURE: I own a residential property at 100 Coolidge Ave. Columbus , Ohio 43223 INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 3902 Broadway, Grove City OH 43123, United States DESCRIPTION: Land Lord GLEN HOLMES POSITION: Owner 50% NATURE: Partnership / LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/07/2024 ADDRESS: 3108 Hwy #17, Fleming Island FL 32003, United States DESCRIPTION: I own a 50% interest in a house boat. The boat is listed on Airbnb & VRBO. I have a management company managing all of the listings, advertisement and collection of revenue.
CRS (Client Relationship Summary) - RIA
Click below to view Glen Edward Holmes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Glen Edward Holmes'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®
NoneExperience
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 3902 Broadway, Grove City, OH 43123RIA
BD
CRD#: 23131
Grove City, OH
Current
November 3, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 3902 Broadway, Grove City, OH 43123RIA
BD
CRD#: 23131
Grove City, OH
Past
February 1, 2018 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
GROVE CITY, OH
Past
January 31, 2018 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GROVE CITY, OH
Past
March 1, 2010 - January 31, 2018
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
GROVE CITY, OH
Past
February 23, 2010 - January 31, 2018
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
GROVE CITY, OH
Past
December 21, 2005 - February 24, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
GROVE CITY, OH
Past
June 27, 2005 - February 24, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GROVE CITY, OH
Past
May 13, 2005 - May 23, 2005
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
September 18, 1999 - May 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GROVE CITY, OH
Past
May 8, 1990 - May 11, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 8, 1990 - May 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 1, 1988 - December 17, 1988
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
BD
CRD#: 14338
Past
January 21, 1988 - September 7, 1988
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Past
October 21, 1985 - December 4, 1987
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
October 1, 1985 - November 12, 1985
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
Past
June 3, 1985 - October 1, 1985
JII SECURITIES INC.
BD
CRD#: 406
Past
May 23, 1984 - June 7, 1985
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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
California(11/3/2023)
RR
Colorado(11/3/2023)
RR
Florida(11/3/2023)
IAR
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
Maine(11/3/2023)
RR
Maryland(12/19/2024)
RR
Massachusetts(9/22/2025)
RR
Michigan(11/3/2023)
RR
Minnesota(11/3/2023)
RR
Mississippi(6/27/2025)
RR
Montana(1/29/2025)
RR
New Mexico(11/3/2023)
RR
New York(11/3/2023)
RR
North Carolina(11/3/2023)
RR
Ohio(11/3/2023)
IAR
Ohio(11/3/2023)
RR
Pennsylvania(11/3/2023)
RR
South Carolina(11/3/2023)
RR
Tennessee(2/24/2025)
RR
Texas(11/3/2023)
IAR
Texas(11/3/2023)
RR
Virginia(5/28/2025)
RR
Washington(11/3/2023)
RR
West Virginia(11/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
