ASSET MANAGEMENT SERVICES, INC. is an SEC-registered investment adviser (CRD 110803). Regulatory assets under management: $108.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| CLARK GARY THOMAS | CHIEF COMPLIANCE OFFICER | — |
| BOWSER GREGORY KENT | CHAIRMAN; PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Gregory Kent Bowser | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Eric Matthew Bowser | MEMBER/INVESTMENT ADVISOR REPRESENTATIVE | — |
| Bradley Allen Bowser | MEMBER | — |
| Sandra Lee Fitzgerald | MEMBER | — |
| Maria Terry | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-07-25 | regulatory | SURPASSED THE 5 CLIENT DI MINIMIS WITHOUT BEING REGISTERED. | Final | $7K |
| 2007-03-30 | regulatory | ALLEGED VIOLATIONS OF SECTIONS 11-301, 11-302 & 11-501 OF THE MARYLAND SECURITIES ACT; AND COMAR 02.02.05.03. | Final | — |
| 2001-07-09 | regulatory | MR. BOWSER VIOLATED COMAR 02.02.05.03 BY IMPROPERLY STRUCTURING A LOAN FROM A CLIENT WHO WAS NOT A BROKER DEALER, AN AFFILIATE OF THE INVESTMENT ADVISOR, OR A FINANCIAL INSTITUTION ENGAGED IN THE BUSINESS OF LENDING FUNDS OR SECURITIES. | Final | — |