FINANCIAL TRUST ASSET MANAGEMENT CHARTERED of BOCA RATON, FL is an SEC-registered investment adviser (CRD 108998). Regulatory assets under management: $141.9M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Arno Otto Mayer | CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER & MAJORITY PARTNER; CHIEF INVESTMENT OFFICER & MAJORITY PARTNER | — |
| Gregory Michael Vigrass | CEO, PRESIDENT & MINORITY PARTNER; CEO, PRESIDENT, MINORITY PARTNER | — |
| Anthony Stephen Hueston | CFO & MINORITY PARTNER; MINORITY PARTNER | — |
| Joseph Thomas Hage | PRESIDENT; PRESIDENT AND MINORITY PARTNER | — |
| Rashaunia C Fuller | CHIEF COMPLIANCE OFFICER | — |
| Marguerite Amaral Tavares | CCO | — |
| MAYER ARNO OTTO | PRESIDENT, CEO, DIRECTOR; PRESIDENT, CEO, DIRECTOR, CHIEF COMPLIANCE OFFICER; PRESIDENT, CEO, DIRECTOR, COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-05 | regulatory | THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION (THE "FOFR") ALLEGED THAT FTAM VIOLATED FLORIDA STATUTES AND RULES BY: (1) INCORRECTLY COMPLETING THREE ITEMS ON FORM ADV; (2) SHARING CONFIDENTIAL CLIENT INFORMATION TO A THIRD PARTY SERVICE PROVIDER WITHOUT SPECIFICALLY DISCLOSING TO CLIENTS THAT… | Final | $8K |
| — | regulatory | — | — | — |