RG
Robert S. Glover
WELLS FARGO ADVISORS FINANCIAL NETWORK
Melbourne, FL 32940
Some features on this profile are disabled
CRD#: 2097073
RG
Professional summary
Robert Scott Glover, CIMA®, who also goes by R Scott Glover, Robert Scott Glover, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Melbourne, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R Scott Glover | Robert Scott Glover
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.
SHAGGY'S PLACE LLC, INVT RELATED, INDIAN HARBOUR BEACH, FL, 100% OWNERSHIP WITH SPOUSE, START 1/28/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, LLC TO HOLD RENTAL PROPERTY. DOUGIE AND PIPER'S PLACE, LLC, INVT RELATED, INDIAN HARBOUR BEACH, FL, 100% OWNERSHIP WITH SPOUSE, START 1/21/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, LLC TO HOLD RENTAL PROPERTY. FISHR'S PLACE, LLC, INVT RELATED, INDIAN HARBOUR BEACH, FL, 100% OWNERSHIP WITH SPOUSE, START 1/21/2010, 1 HR PER MONTH, 0 HRS DURING TRADING, LLC TO HOLD PERSONAL PROPERTY. CHOKO HOLDINGS, LLC, INVT RELATED, INDIAN HARBOUR BEACH, FL, 33.33% OWNERSHIP, START 1/5/2016, 0 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL OWNER. GOF WEALTH MANAGEMENT, LLC, INVT RELATED, MELBOURNE, FL, 40% OWNERSHIP, START 3/2/2021, 4 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR FINET EXPENSES. STRATHSPEY HOLDINGS, LLC; NOT INV. RELATED; INDIAN HARBOUR BEACH, FL; 100% OWNERSHIP WITH SPOUSE; START 8/18/2021; 11 HOURS PER MONTH; ZERO HOURS DURING TRADING; HOLDS RENTAL PROPERTY. GWM AND COMPANY, LLC, INVT RELATED, INDIAN HARBOUR BEACH, FL, 100% OWNERSHIP, START 3/23/2021, 4 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR FINET EXPENSES. GOF PARTNERS LLC, INV RELATED, MELBOURNE, FL, 40% OWNERSHIP, START 3/2/2021, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. SAMMYS PLACE HOLDINGS LLC, INV RELATED, INDIAN HARBOUR BEACH, FL, 100% OWNERSHIP WITH SPOUSE, START 7/10/24, 1 HRS PER MONTH, 0 HRS DURING TRADING, REAL ESTATE HOLDER. RENTAL PROPERTY; INV. RELATED; MELBOURNE, FL; OWNER; START DATE 12/1/2024; 2 HOURS PER MONTH; 0 HOURS DURING TRADING. RENTAL PROPERTY; INV. RELATED; MELBOURNE, FL; OWNER; START DATE 2/1/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. RENTAL PROPERTY - YOUNG STREET; INV RELATED; MELBOURNE, FL; RENTAL;100% OWNERSHIP; -; START DATE: 08/02/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|
CRS (Client Relationship Summary) - RIA
Click below to view Robert Scott Glover's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Scott Glover'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®
Experience
Current
April 21, 2021 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 5700 North Highway Us1 Ste 200, Melbourne, FL 32940RIA
BD
CRD#: 11025
Melbourne, FL
Current
April 21, 2021 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 5700 North Highway Us1 Ste 200, Melbourne, FL 32940RIA
BD
CRD#: 11025
Melbourne, FL
Past
December 15, 2008 - April 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROCKLEDGE, FL
Past
December 15, 2008 - April 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROCKLEDGE, FL
Past
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MELBOURNE, FL
Past
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MELBOURNE, FL
Past
September 20, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MELBOURNE, FL
Past
September 20, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MELBOURNE, FL
Past
January 31, 1995 - September 28, 1999
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
December 18, 1992 - February 15, 1995
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
October 30, 1990 - December 15, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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(4/27/2021)
RR
Alaska(4/21/2021)
RR
Arizona(4/21/2021)
RR
California(4/21/2021)
RR
Colorado(4/21/2021)
RR
Connecticut(3/3/2023)
RR
Delaware(4/21/2021)
RR
District of Columbia(9/24/2025)
RR
Florida(4/21/2021)
IAR
Florida(4/22/2021)
RR
Georgia(4/21/2021)
RR
Hawaii(4/21/2021)
RR
Idaho(1/9/2024)
RR
Illinois(4/27/2021)
RR
Indiana(4/27/2021)
RR
Iowa(4/21/2021)
RR
Kansas(5/8/2024)
RR
Louisiana(4/21/2021)
RR
Maine(4/21/2021)
RR
Maryland(4/21/2021)
RR
Massachusetts(4/21/2021)
RR
Michigan(4/21/2021)
RR
Minnesota(4/27/2021)
RR
Missouri(4/21/2021)
RR
Montana(4/21/2021)
RR
Nevada(4/21/2021)
RR
New Hampshire(4/21/2021)
RR
New Jersey(4/21/2021)
RR
New Mexico(9/6/2024)
RR
New York(4/21/2021)
RR
North Carolina(4/21/2021)
RR
Ohio(4/21/2021)
RR
Oklahoma(4/21/2021)
RR
Oregon(4/21/2021)
RR
Pennsylvania(4/21/2021)
RR
Puerto Rico(4/21/2021)
RR
South Carolina(4/21/2021)
RR
Tennessee(4/21/2021)
RR
Texas(4/21/2021)
IAR
Texas(4/21/2021)
RR
Utah(4/21/2021)
RR
Vermont(4/21/2021)
RR
Virginia(4/21/2021)
RR
Washington(4/21/2021)
RR
West Virginia(5/13/2022)
RR
Wisconsin(4/21/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,658
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
