RETIREMENT SOLUTIONS GROUP, INC. of FRANKLIN, TN is an SEC-registered investment adviser (CRD 289069). Regulatory assets under management: $159.6M. This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Other.
Clients served: Individuals, Charities.
| Name | Role | Location |
|---|---|---|
| Ryan David Moore | OWNER/CHIEF COMPLIANCE OFFICER/INVESTMENT ADVISOR REPRESENTATIVE | — |
| Chelsea Moore | OWNER/CFO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-04-16 | regulatory | FAILURE TO DISCLOSE A FINRA AWC ON HIS RENEWAL FOR A TENNESSEE INSURANCE PRODUCER LICENSE. | Final | $3K |
| 2012-10-15 | regulatory | FINRA RULE 2010, NASD RULE 3040 - RYAN MOORE SOLD PROMISSORY NOTES WITH AN AGGREGATE PRINCIPAL AMOUNT OF$135,000 TO CUSTOMERS OUTSIDE THE REGULAR COURSE AND SCOPE OF HIS ASSOCIATION WITH HIS MEMBER FIRM. MOORE EARNED $6,750 IN COMMISSIONS FROM THE SALE OF PROMISSORY NOTES. MOORE DID NOT PROVIDE HIS… | Final | $10K |
| — | regulatory | — | — | — |