FIRST HEARTLAND CONSULTANTS, INC.

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.

Registration

Business model

Compensation: % of AUM, Hourly, Fixed.

Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.

Officers, owners & control persons (12)

NameRoleLocation
David Michael HoffCHIEF EXECUTIVE OFFICER/PRESIDENT—
Zeonia Marie ChristyCHIEF COMPLIANCE OFFICER—
Jeanne Ann JehleCHIEF LEGAL OFFICER—
Scott M HoffCHIEF OPERATING OFFICER—
Brandon Wayne HallCHIEF INFORMATION OFFICER—
HOFF DAVID MICHAELCHIEF EXECUTIVE OFFICER/PRESIDENT; PRESIDENT—
ANDERSON JULIUS JOSEPHVICE PRESIDENT—
CHRISTY ZEONIA MCHIEF COMPLIANCE OFFICER—
JEHLE JEANNE ANNCHIEF LEGAL OFFICER—
HALL RICHARD WAYNECHIEF INFORMATION OFFICER—
CHRISTY ZEONIA MARIECHIEF COMPLIANCE OFFICER—
HOFF SCOTT MCHIEF OPERATING OFFICER—

Disclosures (8)

InitiatedTypeAllegationsStatusAmount
2021-08-02regulatoryINADEQUATE 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———

Branch offices (25)

Showing 15 of 25 offices.

CityStateEmployeesPhone
VALPARAISOIN4219-548-7373
HILLSBOROUGHNJ3908-904-4100
CHAMBERSBURGPA3717-263-4267
——2636-477-9400
PORTAGEIN2219-614-2819
SAN MATEOCA2650-697-2727
CARMELIN23178446004
SAINT CHARLESMO2636-477-9400
CLIVEIA2515-251-3166
NEWAYGOMI28003383746
——2614-499-1201
LONDONDERRYNH2603-965-3740
LITTLE ROCKAR2501-603-0100
WESTLAKEOH24407300111
BOERNETX2831-656-0236

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