SIGNATURE FINANCIAL SERVICES, LTD of ARLINGTON HEIGHTS, IL is an SEC-registered investment adviser (CRD 123729). Regulatory assets under management: $274.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Bradley Kent Walton | PRESIDENT | — |
| Timothy Melvin Olmstead | SECRETARY TREASURER/ CHIEF COMPLIANCE OFFICER | — |
| WALTON BRADLEY KENT | PRESIDENT; PRESIDENT/CCO; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| LANDERS CHARLES ALBERT | VICE PRESIDENT | — |
| OLMSTEAD TIMOTHY MELVIN | SECRETARY TREASURER; SECRETARY TREASURER/ CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-09-03 | regulatory | SIGNATURE IS ALLEGED TO HAVE BREACHED OUR FIDUCIARY DUTY IN CONNECTION WITH OUR MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE RECEIPT OF FEES PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940 BY OUR ASSOCIATED PERSONS, EACH OF WHOM ALSO WAS A REGISTERED REPRESENTATIVE OF AN UNAFF… | Final | $80K |