FIRST HEARTLAND CONSULTANTS, INC. of LAKE ST. LOUIS, MO is an SEC-registered investment adviser (CRD 110377). Regulatory assets under management: $2.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| David Michael Hoff | CHIEF EXECUTIVE OFFICER/PRESIDENT | — |
| Zeonia Marie Christy | CHIEF COMPLIANCE OFFICER | — |
| Jeanne Ann Jehle | CHIEF LEGAL OFFICER | — |
| Scott M Hoff | CHIEF OPERATING OFFICER | — |
| Brandon Wayne Hall | CHIEF INFORMATION OFFICER | — |
| HOFF DAVID MICHAEL | CHIEF EXECUTIVE OFFICER/PRESIDENT; PRESIDENT | — |
| ANDERSON JULIUS JOSEPH | VICE PRESIDENT | — |
| CHRISTY ZEONIA M | CHIEF COMPLIANCE OFFICER | — |
| JEHLE JEANNE ANN | CHIEF LEGAL OFFICER | — |
| HALL RICHARD WAYNE | CHIEF INFORMATION OFFICER | — |
| CHRISTY ZEONIA MARIE | CHIEF COMPLIANCE OFFICER | — |
| HOFF SCOTT M | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-02 | regulatory | INADEQUATE DISCLOSURE TO ADVISORY CLIENTS OF BOTH REVENUE SHARING AND FEE MARK-UPS PAID TO AFFILIATED BD AS WELL AS ASSOCIATED CONFLICTS OF INTEREST;BREACH OF DUTY TO SEEK BEST EXECUTION RELATING TO MUTUAL FUND SHARE CLASSES; AND FAILURE TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDU… | Final | $200K |
| — | regulatory | — | — | — |