CREATIVEONE SECURITIES, LLC of OVERLAND PARK, KS is an SEC-registered investment adviser (CRD 152974). Regulatory assets under management: $2.5B.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Chang Shin | CCO | Overland Park, KS |
| Michael Richard Tripses | DIRECTOR; SHAREHOLDER | — |
| Susan Ann Hayes | FINOP | — |
| Jeffrey Neal Eisenhauer | PRESIDENT AND CEO, CCO, COO | — |
| HAYES PAMELA ANN | FINOP | — |
| KIERNAN DANIEL FRANCIS | FINOP | — |
| TRIPSES MICHAEL RICHARD | DIRECTOR; SHAREHOLDER | — |
| MONEYMAKER WILLIAM HOLL | DIRECTOR; SHAREHOLDER | — |
| TUMA MICHAEL CHARLES | CEO/CCO/PRESIDENT | — |
| KIERNAN WILMA URIBE | FINOP | — |
| MONICAL SANDRA KAY | COO | — |
| EISENHAUER JEFFREY NEAL | INTERM PRESIDENT AND CEO, CCO; PRESIDENT AND CEO, CCO; PRESIDENT AND CEO, CCO, COO | — |
| THOMPSON JAMES DALE | CEO, CCO, PRESIDENT | — |
| James Edmond Clements | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | IA RELEASE 40-5159 / MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST CLIENT ONE SECURITIES, LLC ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER,… | Final | — |