LANDOLT SECURITIES, INC. of LAKE BLUFF, IL is an SEC-registered investment adviser (CRD 28352). Regulatory assets under management: $137.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Donald Trendley Mckiernan | CEO, CO-CCO (BD ONLY) & FINOP | — |
| Matthew Richard Mckiernan | CHIEF FINANCIAL OFFICER AND CCO (IA ONLY) | — |
| Tyler John Reinhard | COO / CO-CCO (BD ONLY) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-07 | regulatory | FAILURE TO FOLLOW FIRM GUIDELINES | Final | $10K |
| 2024-01-16 | regulatory | FROM AT LEAST MARCH 2021 TO JANUARY 2024, THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A REASONABLE SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), TO SUPERVISE THE ELECTRONIC COMMUNICATIONS OF ITS REGISTERED REPRESENTATIVES. | Final | $25K |
| 2015-07-24 | regulatory | FINRA ALLEGED THAT: 1) LANDOLT DID NOT MEET MINIMUM NET CAPITAL REQUIREMENTS FOR THE YEARS 2012 AND 2013; AND 2) LANDOLT FAILED TO REPORT CERTAIN MUNICIPAL SECURITIES TRANSACTIONS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD IN 2012 AND 2013. | Final | $25K |
| — | regulatory | — | — | — |