INTEGRATED FINANCIAL PLANNING SERVICES of HEIDELBERG is an SEC-registered investment adviser (CRD 17935). Regulatory assets under management: $4.1M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Kathy Poist Cuomo | FINANCIAL & OPERATIONS PRINCIPAL | — |
| Marcia Olivia Huntington-Sell | CHIEF COMPLIANCE OFFICER | — |
| Glenn Alan Kinkade | CHIEF EXECUTIVE OFFICER | — |
| Lynne Elaine Kinkade | ESTATE EXECUTOR; SECRETARY | — |
| SWANSON ROBERT ERNEST | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| CUOMO KATHY POIST | FINANCIAL & OPERATIONS PRINCIPAL | — |
| REINKING JUSTIN DOUGLAS | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-07-16 | regulatory | REVIEW PERIOD: MAY 2005 - MAY 2009. VIOLATIONS: DEFICIENT SUPERVISORY CONTROL PROCEDURES, FAILURE TO DOCUMENT USE OF AN ADEQUATE SYSTEM OF SUPERVISION OF PRODUCING MANAGERS AND REVIEW AND MONITOR OF TRANSMITTAL OF CUSTOMER FUNDS AND CHANGES OF ADDRESS, FAILURE TO MAINTAIN DOCUMENTATION OF ITS CEO CE… | Final | $33K |
| 2007-09-05 | regulatory | VIOLATIVE CONDUCT INCLUDED FAILURE TO ADEQUATELY SUPERVISE SYSTEMATIC INVESTMENT PLANS TO MILITARY SERVICE MEMBERS BY INDEPENDENT CONTRATORS AT REMOTE SITES, FAILURE TO SUPERVISE COMPLIANCE WITH DOD REGULATIONS, FAILURE TO ADEQUATELY SUPERVISE INDEPENDENT CONTRACTORS/REMOTE OFFICES, FAILURE TO ESTAB… | Final | $90K |