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FIRM PROFILE
Overview
FIDELITY & GUARANTY SECURITIES, LLC is located at 801 Grand Ave. Suite 2600, Des Moines, IA 50309 and was first established at Kansas City, Delaware in 08/16/2022. After operating for 3 years, FIDELITY & GUARANTY SECURITIES, 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 FIDELITY & GUARANTY SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. FIDELITY & GUARANTY SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIDELITY & GUARANTY SECURITIES, 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 FIDELITY & GUARANTY SECURITIES, 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 FIDELITY & GUARANTY SECURITIES, 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.
Where the Statistical Data for FIDELITY & GUARANTY SECURITIES, LLC Comes From
Understanding the Statistics for FIDELITY & GUARANTY SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
801 Grand Ave. Suite 2600, Des Moines, IA 50309
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Small
+1 (888) 697-5433
Delaware since 08/16/2022
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | ||
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 | |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 | |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 | |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 | |
| PHELPS, JOHN A | DIRECTOR | 5664815 | |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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Advisor's working at FIDELITY & GUARANTY SECURITIES, LLC
Jeffrey John Hughes
Lee Aaron Bennett
Aaron J Bateman
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