HCR WEALTH ADVISORS of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 108676). Regulatory assets under management: $2.0B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Hayley Nicole Nelson | CHIEF COMPLIANCE OFFICER | — |
| Gregory Sandor Heller | PRESIDENT | — |
| Steven Jeff Weinberger | SENIOR MANAGING DIRECTOR | — |
| Lynda B Furnari | CHIEF OPERATIONS OFFICER | — |
| Jordan Lindsay Kahn | CHIEF INVESTMENT OFFICER | — |
| HELLER GREGORY SANDOR | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| WEINBERGER STEVEN JEFF | CHIEF COMPLIANCE OFFICER; SENIOR MANAGING DIRECTOR | — |
| NELSON HAYLEY NICOLE | CHIEF COMPLIANCE OFFICER | — |
| PUATHASNANON SAM SUEBPONG | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-23 | regulatory | THE SEC ALLEGED THAT HCR FAILED TO REASONABLY SUPERVISE A FORMER INVESTMENT ADVISER REPRESENTATIVE AND IMPLEMENT REASONABLE COMPLIANCE-RELATED POLICIES AND PROCEDURES IN LIGHT OF WARNINGS WITH RESPECT TO THAT REPRESENTATIVE'S CONDUCT. | Final | $220K |