LARSEN, GLEN ALLEN of SALT LAKE CITY, UT is an SEC-registered investment adviser (CRD 118496). Regulatory assets under management: $146.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Performance.
Clients served: Individuals, High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Glen Allen Larsen | CEO, CCO, 100% OWNER | — |
| LARSEN DANIEL ALLEN | CCO; CEO, CCO, 100% OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-09-26 | regulatory | BOOKS AND RECORDS: FAILURE TO A) ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES B) REVIEW AND DOCUMENT REVIEW SUCH POLICIES AND PROCEDURES AT LEAST ANNUALLY AS REQUIRED UNDER UTAH UNIFORM SECURITIES ACT, UTAH CODE ANN. SECTION 61-1-5. | Final | $1K |