# FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC. of SANTA CLARA, CA is an SEC-registered investment adviser.

## Registration

- CRD: 1027
- Type: SEC-registered investment adviser
- SEC file number: 801-57293
- Location: 2900 LAKESIDE DRIVE, SUITE 100, SANTA CLARA, CA, 95054
- Phone: 650-625-9701
- Latest filing: 2016-12-27
- Regulatory AUM: $1.2B
- Discretionary AUM: $837.4M
- Non-discretionary AUM: $320.4M
- Clients: 268
- Accounts: 6,953

## Officers, owners & control persons (18)

| Name | Role | Location |
| --- | --- | --- |
| [Alexander Kanghee Lee](https://search.stillhousedata.com/person/664535) | COO | — |
| [GARDINER GEORGE REX](https://search.stillhousedata.com/person/733098) | CHAIRMAN OF THE BOARD; PRESIDENT, SECRETARY, TREASURER, CEO | — |
| [FLYNN CHRISTINE MARIE](https://search.stillhousedata.com/person/733099) | FINOP, CHIEF OPERATING OFFICER, CFO, CHIEF COMPLIANCE OFFICER; FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP; FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | — |
| [FOX ROBERT MICHAEL](https://search.stillhousedata.com/person/733726) | CCO; CCO: FOOTHILL BROKER DEALER | — |
| [MELBY MICHAEL RYAN](https://search.stillhousedata.com/person/736026) | CFO/FINOP | — |
| [CHIPMAN STEPHEN HENRY](https://search.stillhousedata.com/person/754131) | PRESIDENT AND CEO | — |
| [BURROUGHS JOHN CORDELL](https://search.stillhousedata.com/person/754132) | BOARD MEMBER | — |
| [WONG WILLIAM](https://search.stillhousedata.com/person/765302) | REGISTERED PRINCIPLE, SHAREHOLDER; SHAREHOLDER | — |
| [MAYS ELISABETH MARIE](https://search.stillhousedata.com/person/765902) | CCO | — |
| [KRESGE RODNEY](https://search.stillhousedata.com/person/776554) | CCO | — |
| [BALLIET ALBERT](https://search.stillhousedata.com/person/784772) | VP | — |
| [MACIASZEK RICHARD MILTON](https://search.stillhousedata.com/person/784773) | VP | — |
| [WHITE KARYN MARIE](https://search.stillhousedata.com/person/788426) | FINOP/CFO | — |
| [SHIPP STEPHEN GUY JR](https://search.stillhousedata.com/person/795001) | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | — |
| [PICKENHEIM PAUL WILLIAM](https://search.stillhousedata.com/person/795002) | OPTIONS PRINCIPAL | — |
| [ROSENZWEIG DAVID A](https://search.stillhousedata.com/person/811071) | OPTIONS PRINCIPAL | — |
| [CULVER GREGORY HOWARD](https://search.stillhousedata.com/person/823733) | CCO; CCO: FOOTHILL INVESTMENT ADVISOR; COO | — |
| [CERVANTES STEVEN MARK](https://search.stillhousedata.com/person/825052) | CCO | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/1027/brochure
- Similar advisers: https://search.stillhousedata.com/firm/1027/similar
- Related entities: https://search.stillhousedata.com/firm/1027/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/1027

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.