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FIRM PROFILE
Overview
RINCON SECURITIES GROUP LLC is located at 3027 Townsgate Road Suite 230, Westlake Village, CA 91361 and was first established at Los Angeles, Delaware in 03/19/2019. After operating for 6 years, RINCON SECURITIES GROUP LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of RINCON SECURITIES GROUP LLC’s clients are individuals and 0% of their clients are high net worth individuals. RINCON SECURITIES GROUP LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at RINCON SECURITIES GROUP LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access RINCON SECURITIES GROUP LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at RINCON SECURITIES GROUP LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
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Understanding the Statistics for RINCON SECURITIES GROUP LLC and How They Compare to Other Firms Through Our Analysis
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FIRM INFORMATION
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
3027 Townsgate Road Suite 230, Westlake Village, CA 91361
Small
(805) 601-7188
Delaware since 03/19/2019
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at RINCON SECURITIES GROUP LLC
Harold Brian Hermelee
Susan Margaret Sloat
Ian Clark Smith
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