AMERICAN INDEPENDENT SECURITIES GROUP, LLC of EAGLE, ID is an SEC-registered investment adviser (CRD 135288). Regulatory assets under management: $986.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Sheila A Kerbein | PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| Ryan Shane Carlson | MEMBER, CEO | — |
| Joseph Allison Jr Thomas | MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER | — |
| Reyheena Maria Faxon | PRINCIPAL, FINOP | — |
| CARLSON RYAN SHANE | CHIEF COMPLIANCE OFFICER / FINOP; CHIEF COMPLIANCE OFFICER / FINOP / MEMBER; MEMBER (+1 more) | — |
| CARTER DOUGLAS FOSDICK | PRINCIPAL; PRINCIPAL / MEMBER; PRINCIPAL / MEMBER / REGISTERED OPTIONS & SECURITIES FUTURES PRINCIPAL (+1 more) | — |
| SELLIN THOMAS CLIFFORD | MEMBER; PRESIDENT; PRESIDENT / MEMBER (+3 more) | — |
| WALTHER STEPHEN FREDRICK | PRINCIPAL; PRINCIPAL / MEMBER | — |
| DOWD CHRISTINE MARIE | MEMBER / REGISTERE OPTIONS AND SECURITIES FUTURES PRINCIPAL; MEMBER / REGISTERE OPTIONS AND SECURITIES FUTURES PRINCIPAL, MUNICIPAL PRINCIPAL | — |
| PETERS DAVID LEE | MUNI PRINCIPAL, MEMBER | — |
| BURRELLGWYDYR DIANA LAMB SQUIRE | PRESIDENT, MEMBER, CHIEF EXECUTIVE OFFICER | — |
| DARVIN BARRY JAMES | MEMBER / REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | — |
| THOMAS JOSEPH ALLISON JR | MUNICIPAL PRICIPAL, MEMBER; MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER | — |
| CIOFFI NICHOLAS WILLIAM | PRINCIPAL | — |
| KERBEIN SHEILA A | PRINCIPAL; PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| FAXON REYHEENA MARIA | PRINCIPAL, FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-03-29 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE RULES RELATING TO SALES OF COLLATERALIZED MOR… | Final | — |