APTUS FINANCIAL LLC of LITTLE ROCK, AR is an SEC-registered investment adviser (CRD 280033).
Compensation: Fixed.
Clients served: Individuals, Pensions, Corporations, Other.
| Name | Role | Location |
|---|---|---|
| Sarah Catherine Gutierrez | PARTNER AND CHIEF EXECUTIVE OFFICER | — |
| Timothy John Quillin | CHIEF COMPLIANCE OFFICER | — |
| Charles Matthew Duncan | DIRECTOR OF FINANCIAL PLANNING | — |
| Stephanie Robichaux Matthews | DIRECTOR OF FINANCIAL WELLNESS | — |
| QUILLIN TIMOTHY JOHN | CHIEF COMPLIANCE OFFICER; PARTNER | — |
| GUTIERREZ SARAH CATHERINE | OWNER AND PARTNER; PARTNER AND CHIEF EXECUTIVE OFFICER | — |
| BESSETTE LINDA | CHIEF ADMINISTRATIVE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| DUNCAN CHARLES MATTHEW | DIRECTOR OF FINANCIAL PLANNING; SENIOR VICE PRESIDENT | — |
| Matthews Stephanie Robichaux | DIRECTOR OF FINANCIAL WELLNESS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-02 | regulatory | IN APRIL 2021, APTUS NOTICE FILED IN OHIO AS AN SEC-REGISTERED ADVISOR. PRIOR TO APRIL 2021, APTUS WAS REGISTERED IN THE STATE OF ARKANSAS. THE STATE OF OHIO ALLEGED THAT APTUS EXCEEDED A DE MINIMIS NUMBER OF CLIENTS IN OHIO IN 2019 BY ADDING A 6TH CLIENT IN THE STATE AND SHOULD HAVE REGISTERED, OR… | Final | — |
| 2022-01-24 | regulatory | IN APRIL 2021, APTUS NOTICE FILED IN VIRGINIA AS AN SEC-REGISTERED ADVISOR. PRIOR TO APRIL 2021, APTUS WAS REGISTERED IN THE STATE OF ARKANSAS. THE COMMONWEALTH OF VIRGINIA ALLEGED THAT APTUS EXCEEDED A DE MINIMIS NUMBER OF CLIENTS IN VIRGINIA IN 2019 BY ADDING A 6TH CLIENT IN THE STATE AND SHOULD H… | Final | $6K |
| 2021-06-07 | regulatory | IN APRIL 2021, APTUS NOTICE FILED IN PENNSYLVANIA AS AN SEC-REGISTERED ADVISOR. APTUS EXCEEDED A DE MINIMIS NUMBER OF CLIENTS IN PENNSYLVANIA IN APRIL 2020 WHEN IT ADDED ITS 6TH CLIENT IN THE STATE AND SHOULD HAVE REGISTERED, OR NOTICE FILED, IN PENNSYLVANIA AT THAT TIME. ON JUNE 7, 2021, THE PENNSY… | Final | $5K |