FOOTHILL SECURITIES, INC.
CRD #1027 SEC #801-57293 SANTA CLARA, CA 650-625-9701
SEC Registered Broker-Dealer Disclosures
Total AUM
$1.2B
Discretionary
$837.4M
Employees
268
Clients
51
Accounts
6,953
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 22, 2016
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALEXANDER, CRAIG LEE | I | COO | NA | Control |
| BALLIET, ALBERT | I | VP | NA | |
| BALLIET, ALBERT | I | VP | NA | |
| BALLIET, ALBERT | I | VP | NA | |
| CERVANTES, STEVEN MARK | I | CCO | NA | Control |
| CERVANTES, STEVEN MARK | I | CCO | NA | Control |
| CERVANTES, STEVEN MARK | I | CCO | NA | Control |
| CERVANTES, STEVEN MARK | I | CCO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO | NA | Control |
| CULVER, GREGORY HOWARD | I | COO | NA | Control |
| CULVER, GREGORY HOWARD | I | CCO: FOOTHILL INVESTMENT ADVISOR | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP | NA | |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP | NA | |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP | NA | |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CROP, SROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| FLYNN, CHRISTINE MARIE | I | FINOP, CHIEF OPERATING OFFICER, CFO, CHIEF COMPLIANCE OFFICER | NA | Control |
| FOX, ROBERT MICHAEL | I | CCO | NA | Control |
| FOX, ROBERT MICHAEL | I | CCO: FOOTHILL BROKER DEALER | NA | Control |
| FOX, ROBERT MICHAEL | I | CCO | NA | Control |
| FOX, ROBERT MICHAEL | I | CCO | NA | Control |
| GARDINER, GEORGE REX | I | PRESIDENT, SECRETARY, TREASURER, CEO | NA | Control |
| GARDINER, GEORGE REX | I | CHAIRMAN OF THE BOARD | NA | |
| GARDINER, GEORGE REX | I | CHAIRMAN OF THE BOARD | NA | |
| GARDINER, GEORGE REX | I | CHAIRMAN OF THE BOARD | NA | |
| KRESGE, RODNEY | I | CCO | NA | Control |
| KRESGE, RODNEY | I | CCO | NA | Control |
| MACIASZEK, RICHARD MILTON | I | VP | NA | |
| MACIASZEK, RICHARD MILTON | I | VP | NA | |
| MACIASZEK, RICHARD MILTON | I | VP | NA | |
| MAYS, ELISABETH MARIE | I | CCO | NA | Control |
| MAYS, ELISABETH MARIE | I | CCO | NA | Control |
| MAYS, ELISABETH MARIE | I | CCO | NA | Control |
| MAYS, ELISABETH MARIE | I | CCO | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| MELBY, MICHAEL RYAN | I | CFO/FINOP | NA | Control |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| PICKENHEIM, PAUL WILLIAM | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| ROSENZWEIG, DAVID A | I | OPTIONS PRINCIPAL | NA | |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| SHIPP, STEPHEN GUY JR | I | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL | NA | Control |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| WHITE, KARYN MARIE | I | FINOP/CFO | NA | |
| GARDINER, GEORGE REX | I | PRESIDENT, SECRETARY, TREASURER, CEO | E | Control |
| GARDINER, GEORGE REX | I | PRESIDENT, SECRETARY, TREASURER, CEO | E | Control |
| GARDINER, GEORGE REX | I | PRESIDENT, SECRETARY, TREASURER, CEO | E | Control |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| BURROUGHS, JOHN CORDELL | I | BOARD MEMBER | A | |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | A | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | A | Control |
| CHIPMAN, STEPHEN HENRY | I | PRESIDENT AND CEO | A | Control |
| CUE FINANCIAL GROUP | DE | SHAREHOLDER | A | |
| CUE FINANCIAL GROUP | DE | SHAREHOLDER | A | |
| CUE FINANCIAL GROUP | DE | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | REGISTERED PRINCIPLE, SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A | |
| WONG, BENJAMIN WILLIAM | I | SHAREHOLDER | A |
Registrations
Federal
IA
Jul 22, 2016 REGISTERED
Notice Filings (31)
AK AZ CA CO DE FL GA HI ID IL IN LA MA MD MI MT NC NE NH NJ NM NV NY OH OR PA TN TX UT WA WI
Address
2900 LAKESIDE DRIVESUITE 100
SANTA CLARA, CA 95054
United States
Phone: 650-625-9701