SECOND HALF FINANCIAL PARTNERS, LLC of SEBRING, FL is an SEC-registered investment adviser (CRD 163454). Regulatory assets under management: $128.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Leila Mehrizi Shaver | CHIEF COMPLIANCE OFFICER | — |
| Michael Donald Fitch | OWNER | — |
| John William Swaine | FOUNDER; OWNER | — |
| George David Leidel | FOUNDER; OWNER | — |
| COSGROVE KRISTA LEE | CHIEF COMPLIANCE OFFICER | — |
| SWAINE JOHN WILLIAM | MANAGING MEMBER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; OWNER | — |
| LEIDEL GEORGE DAVID | MANAGING MEMBER; OWNER | — |
| SHAVER LEILA MEHRIZI | CHIEF COMPLIANCE OFFICER | — |
| FITCH MICHAEL DONALD | CHIEF COMPLIANCE OFFICER; OWNER | — |
| VEENSTRA JILL ANNE | CHIEF COMPLIANCE OFFICER | — |
| PAGANO MALLORY ZD | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-09-25 | regulatory | FORM ADV DISCLOSURE: FAILED TO DISCLOSE IF FEES ARE NEGOTIABLE. FAILED TO DISCLOSE THAT FEES ARE PRORATED FOR ANY CLIENT ACCOUNT NOT MANAGED FOR A FULL QUARTER. CHARGED CLIENTS AN ADVISORY FEE GREATER THAN THAT SHOWN IN THE CONTRACT FOR SECOND QUARTER 2017. FAILED TO PREPARE AND MAINTAIN TRUE, ACCUR… | Final | $3K |