SPRINGER INVESTMENT MANAGEMENT, INC.
Legal name: SPRINGER FINANCIAL ADVISORS
CRD #111072 SEC #801-57201 SACRAMENTO, CA 916-925-8900
SEC Registered Disclosures
Total AUM
$209.4M
Discretionary
$209.4M
Employees
4
Clients
--
Accounts
804
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
- Jun 29, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/CHIEF COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/CHIEF COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| ALTMAN, RABECCA, PAULETTE | I | OPERATIONS MANAGER/COMPLIANCE OFFICER | NA | Control |
| CHRISTIAN, BARBARA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/CCO | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/COMPLIANCE OFFICER | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/CCO | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/CCO | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/CCO | NA | Control |
| ERDMAN, DEANNA, RENE | I | DIRECTOR OF OPERATIONS/CCO | NA | Control |
| GANNON, SEAN, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GANNON, SEAN, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VANALLEN, LEA, WAHKUNA | I | CHIEF COMPLIANCE OFFICER | NA | |
| VANALLEN, LEA, WAHKUNA | I | CHIEF COMPLIANCE OFFICER | NA | |
| VANALLEN, LEA, WAHKUNA | I | CHIEF COMPLIANCE OFFICER | NA | |
| VANALLEN, LEA, WAHKUNA | I | CHIEF COMPLIANCE OFFICER | NA | |
| WAHIDI, WAFIULLAH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CCO | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CCO | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CCO | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CCO | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT/CCO | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
| SPRINGER, KEITH, WAYNE | I | PRESIDENT | E | Control |
Registrations
Federal
IA
Jun 29, 2020 REGISTERED
Notice Filings (3)
CA NV TX
Address
4480 DUCKHORN DRIVESACRAMENTO, CA 95834
United States
Phone: 916-925-8900