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CRD 330006
SAINT CHARLES, MO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| STEVEN CHAPPELEAR KENNY | n/a | SAINT CHARLES, MO | 1 | 43 | 4 | yes |
| RONALD WAYNE KLENKE | n/a | SAINT CHARLES, MO | 1 | 37 | 6 | yes |
| STEVEN LEWIS STILLMAN | n/a | SAINT CHARLES, MO | 1 | 35 | 7 | yes |
| THOMAS ROBERT REED | n/a | SAINT CHARLES, MO | 1 | 35 | 5 | yes |
| JEFF RYAN LOCKER | n/a | SAINT CHARLES, MO | 1 | 26 | 4 | yes |
| LORI ANN TURNER | n/a | SAINT CHARLES, MO | 1 | 27 | 5 | yes |
| SCOTT MICHAEL BROWNE | Chartered Financial Consultant | SAINT CHARLES, MO | 1 | 14 | 1 | yes |
| CHRISTOPHER JOSEPH JACOBS | n/a | SAINT CHARLES, MO | 1 | 11 | 1 | yes |
| Timothy John Chambliss | n/a | SAINT CHARLES, MO | 1 | 11 | 2 | no |
| KELLY LYNN STONEBARGER | Certified Financial Planner | SAINT CHARLES, MO | 1 | 21 | 4 | yes |
| Kurt Walter Sergiewich | n/a | SAINT CHARLES, MO | 1 | 11 | 4 | yes |
| MICHAEL ALAN ORR | n/a | SAINT CHARLES, MO | 1 | 21 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| LOCKER, JEFF, RYAN | CHEIF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | E | yes | 10/2013 | May 3, 2024 | May 3, 2024 |
| REED, THOMAS, ROBERT | President | C | yes | 10/2013 | May 3, 2024 | May 3, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 5, 2026 | $624M | $624M | 9 | 8 | 0 | n/a | n/a |
| 2024 | Mar 17, 2025 | $0 | $0 | 9 | 8 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 12 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $624M | $0 | n/a | n/a | n/a | 9 | 9 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 11 | Jul 14, 2025 | Jan 13, 2025 | SAINT CHARLES, MO | Team lift out | Other | 0.3% |