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FIRM PROFILE
Overview
SECURITIES AMERICA, INC. is located at null, null, null null and was first established at Kansas City, Delaware in 03/08/1984. After operating for 42 years, SECURITIES AMERICA, 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 AMERICA, INC.’s clients are individuals and 0% of their clients are high net worth individuals. SECURITIES AMERICA, 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 AMERICA, INC. are registered to handle securities or provide financial advice. The firm has 90 disclosures, 58 being regulatory events, 5 being client events, and 27 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 AMERICA, 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 AMERICA, 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 AMERICA, INC. Comes From
Understanding the Statistics for SECURITIES AMERICA, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
Large
Delaware since 03/08/1984
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | ||
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 | |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 | |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 | |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 | |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 | |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 | |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
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Advisor's working at SECURITIES AMERICA, INC.
Craig Stuart Johlfs
Boris Markovich Kagarlitskiy
James Arthur Bowman
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