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CRD 113836
HASTINGS, NE
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 |
|---|---|---|---|---|---|---|
| JEFFREY SCOTT ANDERSON | Certified Financial Planner | HASTINGS, NE | 29 | 36 | 1 | yes |
| MARLIN KENT JOHNSON | n/a | LEXINGTON, NE | 29 | 46 | 1 | yes |
| DANIEL WAYNE CHARRON | Certified Financial Planner | SCOTTSBLUFF, NE | 27 | 29 | 1 | yes |
| TAMMY MICHELLE HUBL | n/a | HASTINGS, NE | 26 | 26 | n/a | yes |
| PHILIP DEAN NEVILLE | n/a | GREELEY, CO | 19 | 56 | 3 | yes |
| DIANE LYNN ALEXANDER | n/a | GREELEY, CO | 19 | 32 | 2 | yes |
| VIRGINIA CHARRON | n/a | HASTINGS, NE | 12 | 20 | n/a | yes |
| SAMUEL JOSEPH CATANESE | n/a | Johnstown, PA | 6 | 50 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANDERSON, JEFFREY, SCOTT | DIRECTOR/PRESIDENT/CEO/COO | E | yes | 08/1997 | Dec 20, 2011 | Dec 23, 2024 |
| CHARRON, DANIEL, WAYNE | Director | Na | yes | 05/2010 | Dec 20, 2011 | Dec 23, 2024 |
| CHARRON, VIRGINIA | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER/DIRECTOR | B | yes | 01/2008 | Dec 20, 2011 | Dec 23, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Buffalo | NY | United States | 4 | yes |
| Greeley | Co | United States | 2 | yes |
| CENTRAL CITY | Ne | United States | 1 | yes |
| GRAND ISLAND | Ne | United States | 1 | yes |
| Kearney | Ne | United States | 1 | yes |
| Lexington | Ne | United States | 1 | yes |
| Scottsbluff | Ne | United States | 1 | yes |
| Johnstown | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 20, 2026 | $300M | $297M | 8 | 8 | 7 | n/a | n/a |
| 2024 | Jan 22, 2025 | $297M | $283M | 12 | 12 | 8 | n/a | n/a |
| 2023 | Dec 13, 2023 | $257M | $227M | 12 | 12 | 9 | n/a | n/a |
| 2022 | Dec 15, 2022 | $220M | $191M | 12 | 12 | 9 | n/a | n/a |
| 2021 | Dec 22, 2021 | $234M | $204M | 12 | 12 | 9 | n/a | n/a |
| 2020 | Dec 21, 2020 | $152M | $122M | 11 | 11 | 9 | n/a | n/a |
| 2019 | Dec 5, 2019 | $144M | $111M | 14 | 14 | 10 | n/a | n/a |
| 2018 | Dec 18, 2018 | $132M | $101M | 14 | 14 | 10 | n/a | n/a |
| 2017 | Dec 22, 2017 | $117M | $91.2M | 14 | 14 | 10 | n/a | n/a |
| 2011 | Dec 20, 2011 | $65.5M | $20.0M | n/a | n/a | n/a | 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 | 0 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $300M | $297M | 1.1% | $220M | 10.9% | 8 | 12 | 7 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | 3 | Jul 15, 2025 | Jun 20, 2025 | BUFFALO, NY | Team lift out | RIA to ibd | 27.3% |