JEFFERY S. SILLS
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CRD#: 1698223
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
JEFFERY SCOTT SILLS, CFP®, who also goes by Jeff Sills, Jeffrey Sills, was a registered financial professional .
JEFFERY is a previously registered financial professional and started their career in finance in 1987. JEFFERY had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Biography
Jeff Sills is President & CEO of Atlanta-based FSC Securities, a broker-dealer and registered investment adviser, which serves approximately 700 independent financial professionals located throughout the United States. It is a wholly owned subsidiary of Advisor Group. He was named to his current role in September 2021.
Jeff is passionate about building business value through credibility, agility, and financial integrity. With a forward-thinking mindset, he uncovers opportunities and delivers nimble solutions to drive growth, fortify businesses, and minimize business risk within volatile economic climates and regulatory change. He consistently builds successful investment organizations by attracting and engaging top-tier talent, mentoring all team members, and establishing efficient and scalable infrastructures and processes.
Career Summary
Early in his career, Jeff served as Senior Vice President of Wealth Management at Smith Barney and National Director of Personal Financial Planning Sales at Shearson Lehman. Later, Jeff was named Executive Director of the Member Advice and Resource Group of USAA in the San Antonio, Texas area, where he managed the Wealth Management buildout and oversaw all enterprise advice and guidance standards for over 1,800 advisors. After being recruited to integrate three Capital One broker-dealer acquisitions, Jeff consolidated the firms into one cohesive entity and increased the sales force by 70 percent in two years.
When Advisor Group acquired Capital One Investing in July 2018, Jeff was retained to transition the full-service business to Woodbury Financial Services, attaining 100% retention of the Capital One Investing financial professionals. Serving as Woodbury’s Senior Vice President of Business and Field Development, Jeff led a team of 15 Regional Vice Presidents, 12 Independent Marketing Organizations, and 1,500 financial professionals with over $85billion in assets under advisement.
Background
Jeff received an MBA in strategic leadership from the Lerner School of Business and Economics at the University of Delaware, holds the Certified Financial Planner designation, and has been a Registered Corporate Coach and Chartered Financial Consultant. He also holds Series 7, 8, 24, 63, and 65 securities licenses, as well as life, variable annuity, and health insurance licenses.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeff Sills | Jeffrey Sills
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. CFP BOARD; 1425 K ST. NW, STE. 800, WASHINGTON, DC 20005; NATURE: SANCTIONING BODY FOR THE CFP DESIGNATION, CREATES & ENFORCES THE ST&ARDS FOR ALL CFPS. POSITION: MEMBER, COMMISSION ON ST&ARDS; INVESTMENT RELATED: NO; # OF HRS/MONTH: 4; # OF HRS DURING SECURITIES TRADING HRS: 4; START DATE: 1/6/2016; DESCRIPT.: REVIEW FEEDBACK FROM DFP PUBLIC FORUMS & REVIEW & RECOMMEND TO THE BOARD PROPOSED CHANGES TO FOUR COMPONENTS OF CFPS ST&ARDS OF PROFESSIONAL CONDUCT, TERMINOLOGY, CODE OF ETHICS & PROFESSIONAL RESPONSIBILITY, RULES OF CONDUCT & FINANCIAL PLANNING STANDARDS. 2. DE STATE CHAMBER OF COMMERCE; 1201 N ORANGE ST. WILMINGTON, DE 19801; NATURE OF BUSINESS: CHAMBER OF COMMERCE REPRESENTING BUSINESSES IN DELAWARE; INVESTMENT RELATED: NO; START DATE: 9/7/2016; POSITION HELD: MEMBER, BOARD OF GOVERNORS; DUTIES: REPRESENT CAPITAL ONE IN WILMINGTON ON THE BOARD OF GOVERNORS; PARTICIPATE AS AVAILABLE IN MEETINGS & EVENTS; #. OF HRS: 1; COMPENSATION RECEIVED: NONE; 3. CHILDREN & FAMILIES FIRST DELAWARE, INC.; 2005 BAYNARD BLVD. WILMINGTON, DE 19802; NATURE: PROVIDES SUPPORT TO CHILDREN & FAMILIES DURING CHALLENGING TIMES; NON-INVESTMENT RELATED; PROPOSED POSITION/TITLE/RELATIONSHIP WITH OTHER BUSINESS DIRECTOR: APPROX. # OF HRS/MONTH DEVOTED TO OTHER BUS.:4; APPROX. # OF HRS DEVOTED TO OTHER BUSINESS DURING BUSINESS HRS:0; YOUR PROPOSED START DATE WITH OTHER BUSINESS: 2/1/2018; DUTIES: PROVIDE EXPERTISE TO CFF & WORK WITH THE FINANCE COMMITTEE. 4. CHILDREN AND FAMILIES FIRST POSITION: Board member and Finance Committee member; Endowment President NATURE: Anon-profit organization that helps children facing adversity on their journey to adulthood. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2016 ADDRESS: 809 Washington Street, Wilmingon DE 19801, United States DESCRIPTION: Provide expertise and work with the finance committee 5. WAWASET MAINTENANCE CORPORATION POSITION: Trustee at large NATURE: This is a membership corporation whose members are residents of Wawaset Park providing for the maintenance of the tract and enforcing all deed restrictions. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2018 ADDRESS: Wawaset Park, Wilmington DE 19805, United States DESCRIPTION: Serve as a liaison with the Board. 6. TEACH FOR AMERICAN DELAWARE POSITION: Member, Advisory Board NATURE: National non-profit organization; places the nation's brightest college grads & young professionals into inner-city schools. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2015 ADDRESS: 100 W. 10th Street, Suite 500, Wilmington DE 19801, United States DESCRIPTION: Advise the executive director for TFA on strategy for accomplishing its mission.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
November 3, 2023 - August 7, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
November 3, 2023 - August 7, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 12, 2021 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
October 11, 2021 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
July 11, 2018 - January 7, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OAKDALE, MN
Past
July 11, 2018 - January 7, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
January 28, 2015 - July 11, 2018
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
Wilmington, DE
Past
January 2, 2015 - July 11, 2018
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
WILMINGTON, DE
Past
September 9, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
September 9, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MCLEAN, VA
Past
February 10, 2010 - July 31, 2014
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
January 15, 2010 - July 31, 2014
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
April 3, 2009 - July 28, 2009
BROKERSXPRESS LLC
RIA
CRD#: 127081
HOUSTON, TX
Past
April 3, 2009 - July 28, 2009
BROKERSXPRESS LLC
BD
CRD#: 127081
HOUSTON, TX
Past
September 24, 2007 - February 24, 2009
USF SERVICES, LLC
RIA
CRD#: 114894
HOUSTON, TX
Past
August 24, 2007 - July 7, 2009
USF ADVISORS, LLC
RIA
CRD#: 130569
HOUSTON, TX
Past
August 17, 2007 - February 24, 2009
USF ALTERNATIVE SERVICES, LLC
RIA
CRD#: 135613
HOUSTON, TX
Past
August 17, 2007 - March 24, 2009
USF SECURITIES, L.P.
BD
CRD#: 37942
HOUSTON, TX
Past
February 28, 1996 - August 20, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
July 31, 1993 - August 20, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 10, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/27/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
