FINANCIAL PLANNING FIRST, LLC of TUSCON, AZ is an SEC-registered investment adviser (CRD 319273). Regulatory assets under management: $113.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Matthew Paul Sullivan | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| SULLIVAN GERALD PAUL | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2000-01-03 | regulatory | NASD RULES 2110 AND 2310 - RESPONDENT MADE RECOMMENDATIONS FOR THE PURCHASE AND SALE OF SECURITIS TO PUBLIC CUSTOMERS THAT WERE UNSUITABLE FOR THOSE CUSTOMERS IN VIEW OF THE FREQUENCY OF THE RECOMMENDED TRANSACTIONS AND THE USE OF MARGIN IN CONNECTION WITH THOSE TRANSACTIONS. | Final | $17K |