SYNDICATED CAPITAL, INC. of DIAMOND BAR, CA is an SEC-registered investment adviser (CRD 29037). Regulatory assets under management: $142.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Other.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Faith Lee | MANAGER; PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | Santa Monica, CA |
| Steven Lee Thornton | FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Joseph Lloyd Jr Mcadams | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST; TRUSTEE | — |
| Heather Una Baines | TRUSTEE; TRUSTEE OF BAINES & MCADAMS LIVING TRUST | — |
| BAINES HEATHER UNA | TRUSTEE; TRUSTEE OF BAINES & MCADAMS LIVING TRUST | — |
| THORNTON ROBERT LEE | FINANCIAL AND OPERATIONS PRINCIPAL | — |
| MCADAMS JOSEPH LLOYD JR | PRESIDENT; PRESIDENT/CEO, SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL; SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL (+2 more) | — |
| MCADAMS JOSEPH EMERY | DIRECTOR | — |
| LEE FAITH LI | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL; VICE PRESIDENT; VICE PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL | — |
| RUBIN ELLEN SUE | FINANCIAL OPERATIONS PRINCIPAL | — |
| CORNISH ROBERT VAUGHAN JR | COMPLIANCE/LEGAL | — |
| WATSON PAMELA JOYCE | FINANCIAL OPERATIONS | — |
| LEE FAITH | MANAGER; PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL; PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | FAILURE TO FULLY DISCLOSE RECEIPT OF 12B1 PAYMENTS IN CONNECTION WITH THE ADVISORY CLIENTS' INVESTMENTS. | Final | $39K |
| 2014-07-15 | regulatory | FORMER REGISTERED REP, STEPHEN BLANKENSHIP, OFFERED HIGH RATES OF RETURN ON PROMISSORY NOTES. IN REALITY, HE ENGAGED IN A PONZI SCHEME. | Final | $10K |
| 2014-07-14 | regulatory | ON JULY 14, 2014, THE BANKING COMMISSIONER ENTERED A CONSENT ORDER (NO. CO-14-7988B-S) WITH RESPECT TO SYNDICATED CAPITAL, INC., A CONNECTICUT-REGISTERED BROKER-DEALER LOCATED AT 1299 OCEAN AVENUE, SECOND FLOOR, SANTA MONICA, CALIFORNIA. FROM 2002 TO 2006, THE FIRM MAINTAINED A BRANCH OFFICE AT 152… | Final | $10K |
| 2011-12-27 | regulatory | NASD RULES 2110, 3010, 3040(C): MCADAMS, HIS MEMBER FIRM, AND LEE, FAILED TO REASONABLY SUPERVISE THE PARTICIPATION OF ONE OF THE FIRM'S REGISTERED REPRESENTATIVES IN PRIVATE SECURITIES TRANSACTIONS THAT THE FIRM HAD RECEIVED PRIOR WRITTEN NOTICE OF AND APPROVED, AND FAILED TO RECORD THESE TRANSACTI… | Final | $15K |
| 2006-08-03 | regulatory | FIRM WAS FINED $5000 FOR NET CAPITAL VIOLATION FROM 7/22/04-7/29/04. REF. SECTION 15(C)OF SECURITIES AND EXCHANGE ACT OF 1934(SEC RULE)AND NASD CONDUCT RULE 2110. | Final | $5K |
| City | State | Employees | Phone |
|---|---|---|---|
| DIAMOND BAR | CA | 3 | 3102554490 |
| MONROVIA | CA | 2 | 6263035890 |
| HONOLULU | CA | 1 | 6263035890 |
| SAN DIEGO | CA | 1 | 858-888-1448 |
| FLUSHING | NY | 1 | 619.379.6868 |
| COSTA MESA | CA | 1 | 949.697.0559 |
| FLUSHING | NY | 1 | 619.379.6868 |
| DOYLESTOWN | PA | 1 | 2672475299 |
| COSTA MESA | CA | 1 | 949.697.0559 |
| BEND | OR | 1 | 5413187871 |