ALLIANT SECURITIES, INC. of LIBERTY LAKE, WA is an SEC-registered investment adviser (CRD 7726). Regulatory assets under management: $300.0M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Paul Douglas Kienbaum | TREASURER CEO CO-CCO CFO | — |
| Michael Odell Nord | PRESIDENT CFO CO-CCO | — |
| Jeffrey Myles Newton | CO-CCO | — |
| Sally Sue Mann | SECRETARY CFO | — |
| KIENBAUM PAUL DOUGLAS | TREASURER CEO CO-CCO CFO | — |
| NORD MICHAEL ODELL | PRESIDENT CFO CO-CCO | — |
| NEWTON JEFFREY MYLES | CO-CCO | — |
| MANN SALLY SUE | SECRETARY CFO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1985-02-28 | regulatory | BOZARTH & TURNER SECURITIES, INC WAS IN VIOLATION OF ARTICLE III, SECTION I OF THE RULES OF FAIR PRACTICE IN FEBRUARY OF 1985. OUR RATIO EXCEEDED 15 TO 1 BECAUSE WE WERE REPORTING ON A TRADE DATE BASIS AND MOST OF OUR FAILS TO RECEIVE, SCHEDULE 4, SETTLED IN MARCH OF 1985. WE RECEIVED A LETTER FROM… | Final | $500 |