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FIRM PROFILE
Overview
SECURITIES MANAGEMENT & RESEARCH, INC. is located at 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402 and was first established at Kansas City, Florida in 12/15/1964. After operating for 61 years, SECURITIES MANAGEMENT & RESEARCH, INC. 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 SECURITIES MANAGEMENT & RESEARCH, INC.’s clients are individuals and 0% of their clients are high net worth individuals. SECURITIES MANAGEMENT & RESEARCH, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SECURITIES MANAGEMENT & RESEARCH, INC. are registered to handle securities or provide financial advice. The firm has 5 disclosures, 4 being regulatory events, 0 being client events, and 1 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 SECURITIES MANAGEMENT & RESEARCH, INC.‘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 SECURITIES MANAGEMENT & RESEARCH, INC.. 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 SECURITIES MANAGEMENT & RESEARCH, INC. Comes From
Understanding the Statistics for SECURITIES MANAGEMENT & RESEARCH, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
P.o. Box 11606, Cedar Rapids, IA 52410-1606
Small
(855) 767-5700
Florida since 12/15/1964
Corporation
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| ONE FINANCIAL, INC. | PARENT | ||
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 | |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 | |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 | |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 | |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 | |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 | |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 | |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 | |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 | |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 | |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
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Advisor's working at SECURITIES MANAGEMENT & RESEARCH, INC.
Sally Stout Witt
Gregg Teak Georgantas
Matthew Joseph Posey
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