INTREPID FINANCIAL PLANNING GROUP, LLC of CARMEL, IN is an SEC-registered investment adviser (CRD 112196). Regulatory assets under management: $390.4M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Donald Behrmann | MEMBER | — |
| Greg Alan Haney | PRESIDENT | — |
| Joan K Locke | PRINCIPAL OWNER | — |
| Chad Alan Bailey | CHIEF COMPLIANCE OFFICER | — |
| LOCKE RICHARD KEITH | CHIEF COMPLIANCE OFFICER; PRINCIPAL; PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| BRYAN ALICE JEAN | PRINCIPAL | — |
| BEHRMANN DONALD | MEMBER | — |
| HANEY GREG ALAN | PRESIDENT | — |
| GILLIGAN JOHN MARTIN | SECRETARY, TREASURER | — |
| Locke Joan K | PRINCIPAL OWNER | — |
| BAILEY CHAD ALAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2004-11-17 | regulatory | DIVISION OF SECURITIES, STATE OF UTAH, WAS NOT NOTIFIED BY INTREPID FINANCIAL PLANNING GROUP LLC THAT ONE OF ITS IARS HAD SUCCESSFULLY PASSED THE SERIES 65 EXAMINATION. | Final | $5K |
| — | regulatory | — | — | — |