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ETF Holdings

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Last updated on March 15, 2017
    • $4.4B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 23K
    • $190.5K
      Estimated Average Account Balance


Firm Services

There is no Services data available to display at this time.

Firm Client types


Current Advisors

# of advisors


name start date
Jason J. Peplinski, MBA, FSS, LUTCF
November 2016
Aleksandar Krakovic, CMFC®, C(k)P®
May 2011
Charla Cynthia Kabana
August 2016
Mohammad Vedadi
March 2010
Daniel John Smith
October 2005

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Fsc Agency, Inc. -- --
    Fsc Securities Corporation Dual Registrant $5,629,578,959
    Royal Alliance Associates, Inc. Dual Registrant $4,629,210,022
    Vision2020 Wealth Management Corp. IAR $1,471,956,910
    Woodbury Financial Services, Inc. Dual Registrant $2,696,849,604



      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Jeffrey Michael Auld Director, Chief Executive Officer, President June, 2008 less than 5%
      Justin Ives Sacca Vice President, Chief Compliance Officer May, 2014 less than 5%
      Robert John Guldner Chief Compliance Officer, Investment Advisory August, 2014 less than 5%
      Noah David Sorkin Executive Vice President, General Counsel, Secretary June, 2008 less than 5%
      Matthew Adam Schlueter Director, Chief Operations Officer, Evp May, 2015 less than 5%
      Thomas Blake Sidlo Municipal Principal January, 2016 less than 5%
      Ahmed Saad Hassanein Chief Accounting Officer, Finop August, 2016 less than 5%
      James Dale Price Chairman November, 2016 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees
        • Commissions