RB
Roberto A. Blanco
OSAIC ADVISORY SERVICES
El Paso, TX 79901
Some features on this profile are disabled
CRD#: 2762071
RB
Professional summary
Roberto Alexandro Blanco, who also goes by Bobby A Blanco, Roberto A Blanco, Roberto Aleandro Blanco, is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in El Paso, Texas and OSAIC WEALTH, INC. located in El Paso, Texas.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roberto has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bobby A Blanco | Roberto A Blanco | Roberto Aleandro Blanco
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)Strategic Wealth Advisors LLC;investment related;123 W. Mills Ave., Suite 200, El Paso, TX 79901;dba;managing member;3/2009;160 hrs/month;6.5 hrs during trading;dba-provide financial advice and offer sales of commission 2)M FINANCIAL.POS:representative NATURE: fixed insurance sales INVESTMENT RELATED: Yes NUMBER OF HRS:160 SECURITIES TRADING HRS:6 START DATE:04/01/2016. ADDY; 1125 NW Couch St, Ste 900, Portland OR 97209, United States DESCRIPT:offer LTC,disability & life insurance 3)ENTRANT BUSINESS STRATEGIES LLC. POS: Managing member NATURE:entity for future inherited real estate holdings INVESTMENT RELATED:Yes NUMBER OF HRS:0 SECURITIES TRADING HRS:0 START DATE:06/01/2007 ADDRESS: 430 Country Oaks Dr, El Paso TX 79932, United States. DESCRIPT:manage personal real estate holdings 4)CAPITAL WEALTH MANAGEMENT OF EL PASO, LLC POSIT:managing member NATURE: entity exists for tax purposes INVESTMENT RELATED:No NUMBER OF HRS:0 SECURITIES TRADING HRS:0 START DATE:03/01/2005 ADDY;430 Country Oaks Dr, El Paso TX 79932, United States. DESCRIPTION: tax entity 5)Henry Gallardo/Bobby Blanco;not investment related21320 N 56th,Suite 1125,Phoenix,AZ 85054;own condominium jointly,lease condo to our LLC in AZ;partner;11/1/2021;1 hr/month;0 hrs during trading;coordinate the payment of mortgage & HOA each month,deposit rent pymt 6)Strategic WA,LLC of ARizona;investment related;7150 East Camelback Rd. Suite 444 Scottsdale, AZ 85251 ;wealth management practice in the business of providing financial planning and procurement of investment and insurance products;partner;10/2020;6-10 hrs/week;extension of our El Paso office,spend approx 6-10 days per month in this location with the objective of building a practice in the new market 7)M FINANCIAL POSIT:representative NATURE:fixed insurance sales INVESTMENT RELATED: Yes NUMBER OF HRS:160 SECURITIES TRADING HRS:6 START DATE:04/01/2016 ADDY: 125 NW Couch St, Ste 900, Portland OR 97209, United States. DESCRIPT: offer LTC,disability & life insurance 8)WORKFORCE SOLUTIONS BORDERPLEX POSIT:current Chair, chair from 1/1/2024 - 12/31/2025 NATURE: Texas based domestic non-profit corporation INVESTMENT RELATED: No NUMBER OF HRS:10 SECURITIES TRADING HRS:8 START DATE:04/25/2017 ADDY:304 Texas Ave, Suite 1400, El Paso TX 79901, United States DESCRIPT: Duties: The Chairperson, who must be representative of business section of Area as provided in Sections 2308.251 et seq. of Government Code, shall be Chairperson of Board and, subject to the control of Board, shall in general supervise business and affairs of Corporation. The Chairperson shall, when present, preside at all meetings of Board. The Chairperson shall perform all duties incident to office of Chairperson and such other duties as from time to time may be prescribed by Board. 9) CALVARY CHAPEL SUN CITY POSIT: Board Member NATURE: Calvary Chapel Sun City is a non - profit religious entity INVESTMENT RELATED: No NUMBER OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 09/01/2024 ADDY: 960 W Borderland Rd, El Paso TX 79932, United States DESCRIPT: To serve on board and contribute through leadership, mission fulfillment, decision making, and community engagement 10) STRATEGIC WA. LLC POSIT: Partner / Director of Risk Management & Insurance Planning NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HRS: 160 SECURITIES TRADING HRS: 6 START DATE: 03/01/2009 ADDY: 123 W. Mills Ave., Suite 200, El Paso TX 79901, United States DESCRIPT: dba - provide financial advice and offer sales of commission 11)STRATEGIC WA, LLC OF ARIZONA POSITION: partner NATURE: wealth management practice in business of providing financial planning and procurement of investment and insurance products INVESTMENT RELATED: Yes NUMBER OF HRS: 6 SECURITIES TRADING HRS: 6 START DATE: 10/01/2020 ADDY: 7150 East Camelback Rd., Suite 444, Scottsdale AZ 85251, United States DESCRIPT: Extension of our El Paso office.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Alexandro Blanco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Alexandro Blanco'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
August 30, 2019 - Present
OSAIC ADVISORY SERVICES, LLC
Office #1: 123 W. Mills Ave Suite 200, El Paso, TX 79901RIA
CRD#: 171070
El Paso, TX
Current
September 18, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 123 W. Mills Ave Suite 200, El Paso, TX 79901Office #2: 2415 E. Camelback Rd. Suite 700, Phoenix, AZ 85016RIA
BD
CRD#: 23131
El Paso, TX
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 123 W. Mills Ave Suite 200, El Paso, TX 79901Office #2: 2415 E. Camelback Rd. Suite 700, Phoenix, AZ 85016RIA
BD
CRD#: 23131
El Paso, TX
Past
August 30, 2019 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
El Paso, TX
Past
April 15, 2016 - August 30, 2019
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
El Paso, TX
Past
April 15, 2016 - August 30, 2019
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
El Paso, TX
Past
September 3, 2009 - May 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
EL PASO, TX
Past
September 3, 2009 - May 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
EL PASO, TX
Past
June 15, 2006 - September 16, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
EL PASO, TX
Past
June 15, 2006 - September 16, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
EL PASO, TX
Past
August 23, 2004 - June 14, 2006
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
EL PASO, TX
Past
July 9, 2004 - June 14, 2006
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
EL PASO, TX
Past
November 9, 2001 - July 27, 2004
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
EL PASO, TX
Past
August 5, 1996 - July 27, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | 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 SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | 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 | ALLIANT FINANCIAL SOLUTINOS | 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 | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | 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
IAR
Arizona(9/6/2019)
RR
Arizona(8/23/2024)
IAR
California(8/30/2019)
RR
California(8/23/2024)
IAR
Colorado(9/9/2019)
RR
Colorado(8/23/2024)
IAR
Florida(9/4/2019)
RR
Florida(8/23/2024)
RR
Nevada(8/23/2024)
IAR
New Jersey(9/26/2019)
RR
New Jersey(8/23/2024)
IAR
New Mexico(9/9/2019)
RR
New Mexico(8/23/2024)
IAR
North Dakota(6/22/2020)
RR
North Dakota(9/18/2024)
IAR
Oklahoma(2/28/2020)
RR
Oklahoma(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Tennessee(2/3/2025)
IAR
Texas(9/6/2019)
RR
Texas(8/23/2024)
RR
Wyoming(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | 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 SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | 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 | ALLIANT FINANCIAL SOLUTINOS | 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 | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | 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.
