SYCAMORE FINANCIAL GROUP of KOKOMO, IN is an SEC-registered investment adviser (CRD 14143). Regulatory assets under management: $787.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Craig Allen Smith | PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | — |
| Anita Lynn Faulkner | VICE PRESIDENT/SECRETARY | — |
| Phillip F Smith | NON-REGISTERED OWNER | — |
| Alec F Smith | NON-REGISTERED OWNER | — |
| SMITH CRAIG ALLEN | PRESIDENT/TREASURER; PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | — |
| FAULKNER ANITA LYNN | VICE PRESIDENT/SECRETARY | — |
| SMITH DONALD F | NON-REGISTERED OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1985-10-08 | regulatory | ADMINISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE | Final | $2K |
| 1985-10-08 | regulatory | ADMISTRATIVE COMPLAINT ALLEGING A FAILURE TO SUPERVISE | Final | $2K |