CUSO FINANCIAL SERVICES, L.P. of SAN DIEGO, CA is an SEC-registered investment adviser (CRD 42132). Regulatory assets under management: $5.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 28 people.
| Name | Role | Location |
|---|---|---|
| Theodore Robert Horwith | CHIEF FINANCIAL OFFICER, FINOP | — |
| Laura Nicole White | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Mary Kathryn Simonson | CHIEF COMPLIANCE OFFICER | — |
| Amanda Candelmo Hawley | CORPORATE SECRETARY | — |
| Kevin Scott Mummau | PRESIDENT | — |
| JALLANS LESLIE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| BEATTIE AMELIA HARDWICK | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, ROSFP; SHAREHOLDER, OFFICER, DIRECTOR (+1 more) | — |
| SEYFERT VALORIE ANNE | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, ROSFP; CHIEF EXECUTIVE OFFICER, ROSFP, FINOP (+3 more) | — |
| ZABUSKA CYNTHIA DAWN | ROSFP; SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, CROP | — |
| MUMMAU KEVIN SCOTT | CHIEF RELATIONSHIP OFFICER; PRESIDENT; ROSFP (+2 more) | — |
| WISER LORAINE KAY | CHIEF FINANCIAL OFFICER | — |
| VONK PETER KELSO | CHIEF COMPLIANCE OFFICER | — |
| HOLLENBECK STEVEN DONALD | SENIOR VICE PRESIDENT | — |
| DAGGS MONICA CAROL SELMAN | CROP; DIRECTOR, SURVEILLANCE AND INTERNAL CONTROL;CROP; ROSFP | — |
| SIMONSON MARY KATHRYN | CHIEF COMPLIANCE OFFICER | — |
| BEATTIE GEORGE TAYLOR | TRUSTEE | — |
| KILROY DANIEL JOSEPH | CHIEF FINANCIAL OFFICER, FINOP | — |
| CANEDY ERIK JASON | CHIEF COMPLIANCE OFFICER; ROSFP | — |
| KRENZLER DANNY LEE | ROSFP | — |
| TRANG RICHARD | ROSFP | — |
| BRODY SCOTT NATHAN | CROP | — |
| KETTERER DOUGLAS JOHN | SHAREHOLDER | — |
| BEARD KEVIN LAWRENCE | MEMBER | — |
| TAYLOR DONALD | CHIEF FINANCIAL OFFICER, FINOP | — |
| Horwith Theodore Robert | CHIEF FINANCIAL OFFICER, FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FOUND THAT AT TIMES DURING THE RELEVANT PERIOD, DEFINED AS 01/01/2014 THROUGH 03/31/2018, CUSO FINANCIAL SERVICES, LP ("CFS") PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-… | Final | — |
| 2018-04-05 | regulatory | IN 2016 THE UTAH DIVISION OF SECURITIES ("THE DIVISION") CONDUCTED EXAMINATIONS OF BROKER-DEALERS TRANSACTING BUSINESS IN UTAH ON THE PREMISES OF UTAH CREDIT UNIONS WHICH INCLUDED CFS. THROUGH THESE EXAMINATIONS, THE DIVISION ALLEGES THAT CFS FAILED TO COMPLY WITH THE REGULATORY REQUIREMENTS GOVERNI… | Final | $100K |
| 2017-01-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT A FIRM REGISTERED REPRESENTATIVE UNSUITABLY SOLICITED AND SOLD TO FIRM CUSTOMERS CERTAIN UITS THAT INVESTED IN CLOSED-END MUTUAL FUNDS THAT EMPLOYED LEVERAGE. THE FINDINGS STATED THAT THE… | Final | $125K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 26 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| ORLANDO | FL | 10 | 407-277-6030 |
| AUSTIN | TX | 9 | 512-421-8141 |
| APPLETON | WI | 9 | 866-273-2328 |
| CLEMMONS | NC | 7 | 336-744-8356 |
| LUNENBURG | MA | 7 | 978-582-4081 |
| DEARBORN | MI | 7 | (313) 322-8527 |
| SYRACUSE | NY | 6 | (800) 462-5000 |
| BOULDER | CO | 6 | 720-565-6057 |
| BEAVERCREEK | OH | 6 | (800) 762-0047 |
| LIVONIA | MI | 6 | 313-322-8227 |
| ANAHEIM | CA | 6 | 888-879-0558 |
| KIMBERLY | WI | 5 | 800-728-4294 |
| WINSTON-SALEM | NC | 5 | 336-774-3706 |
| FAIRFAX | VA | 5 | 800-666-7996 |
| WINSTON SALEM | NC | 5 | (800) 782-4670 |