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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

There is no ETF holding data from this firm to display at this time.

Assets

Assets

Last updated on Dec. 7, 2016
    • $4.4B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 23K
      Accounts
    • $190.5K
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

Advisors

Current Advisors

# of advisors

1,951

name start date
Charla Cynthia Kabana
August 2016
Aleksandar Krakovic, CMFC®, C(k)P®
May 2011
Jason J. Peplinski, MBA, FSS, LUTCF
November 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

      Leadership

      Ownership

      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%
      Valerie Gay Brown Executive Chairman August, 2016 less than 5%
      Ahmed Saad Hassanein Chief Accounting Officer, Finop August, 2016 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

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