FINANCIAL CONCEPTS, INC.
Legal name: FINANCIAL CONCEPTS
CRD #122342 SEC #801-64353 CHANDLER, AZ 480-963-1300
SEC Registered Disclosures
Total AUM
$56.4M
Discretionary
$56.4M
Employees
6
Clients
101
Accounts
471
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Arizona
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 8, 2012
- 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 |
|---|---|---|---|---|
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELSEY, RAYMOND, CROMWELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT / CHIEF COMPLIANCE OFFICER | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
| WOLF, TIM, LEE | I | PRESIDENT | E | Control |
Registrations
Federal
IA
May 8, 2012 REGISTERED
Notice Filings (3)
AZ CA PA
Address
3195 WEST RAY ROADSUITE 9
CHANDLER, AZ 85226
United States
Phone: 480-963-1300