CONTINENTAL INVESTORS SERVICES, INC. of LONGVIEW, WA is an SEC-registered investment adviser (CRD 29775). Regulatory assets under management: $196.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Commissions.
Clients served: High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Max Bryan Kamp | PRESIDENT, CEO/DIRECTOR,CCO | — |
| Betty Jane Trembley | SHAREHOLDER | — |
| Michelle Francis Elo | CHIEF FINANCIAL OFFICER | — |
| KAMP MAX BRYAN | PRESIDENT, CEO/DIRECTOR,CCO | — |
| TREMBLEY BETTY JANE | SHAREHOLDER | — |
| MILLARD DEBRA ANNE | CHIEF FINANCIAL OFFICER | — |
| ELO MICHELLE FRANCIS | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-08-14 | regulatory | VIOLATION OF MSRB RULE G-17,G-30(A)AND G-27.FIRM SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE. TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE FIRM AS TO THE FA… | Final | $35K |
| 2003-11-20 | regulatory | CIS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS FAILED TO REPORT TRACE ELIGIBLE SECURITIES WITHIN 75 MINUTES AFTER EXECUTION. | Final | $5K |
| 2000-09-13 | regulatory | THE FIRM EXECUTING A TRADE IN THE ACCOUNT OF NEW MEXICO RESIDENT, DAVID LUND, PRIOR TO BEING LICENSE IN NEW MEXICO. | Final | $500 |