FINANCIAL GUARD, LLC
CRD #156059 SEC #801-78197 SALT LAKE CITY, UT 614-973-6999
SEC Registered
Total AUM
$977.3K
Discretionary
$977.3K
Employees
18
Clients
--
Accounts
7
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Nov 7, 2022
- Branch Offices
- 5
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BINDAL, HARSHENDU | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| BINDAL, HARSHENDU | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| BINDAL, HARSHENDU | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIEPRISZ, KENNETH, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Cieprisz, Kenneth, David | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| GRIMM, CRAIG, N | I | DIRECTOR AND VICE PRESIDENT OF PLATFORM ANALYTICS | NA | Control |
| HUMPHREY, DANNY, QUENTIN | I | PRESIDENT | NA | Control |
| IVIE, JAMES, REX | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| IVIE, JAMES, REX | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| IVIE, JAMES, REX | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| IVIE, JAMES, REX | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| JOHNSON, TERRENCE, ANDREW | I | DIRECTOR | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| MALLOY, RYAN, JAMES | I | OPERATIONS MANAGER | NA | Control |
| Macomber, Matthew, Scott | I | PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Macomber, Matthew, Scott | I | PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Macomber, Matthew, Scott | I | PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| Macomber, Matthew, Scott | I | PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | DIRECTOR | NA | Control |
| PARADISO, ROGER | I | DIRECTOR | NA | Control |
| PARADISO, ROGER | I | CHAIRMAN OF BOARD AND NOMINATED EXECUTIVE | NA | Control |
| PARADISO, ROGER | I | DIRECTOR | NA | Control |
| PERKINS, BRADLEY, DAWSON | I | CHIEF PRODUCT OFFICER | NA | Control |
| PERKINS, BRADLEY, DAWSON | I | CHIEF PRODUCT OFFICER | NA | Control |
| PERKINS, BRADLEY, DAWSON | I | CHIEF PRODUCT OFFICER | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| SMITH, KRISTOPHER, RYAN | I | DIRECTOR | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Subramanyam, Senthil Kumara Velan | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| VIG, PURNIMA | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PLATFORM MANAGER | NA | Control |
| Williams, David, Garth | I | PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | MAJORITY MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| LEGG MASON, INC. | DE | SOLE MEMBER | E | Control |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | C | Control |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | C | Control |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | C | Control |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | C | Control |
| JENKINS, JAMES, WENTWORTH | I | MANAGING MEMBER AND PRESIDENT | C | Control |
| JENKINS, JAMES, WENTWORTH | I | MANAGING MEMBER | C | Control |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | C | |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | C | |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | C | |
| JENKINS, JAMES, WENTWORTH | I | MANAGING MEMBER AND PRESIDENT | C | Control |
| JENKINS, JAMES, WENTWORTH | I | MANAGING MEMBER AND PRESIDENT | C | Control |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | C | |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | C | |
| GRIMM, CRAIG, N | I | CHIEF OPERATING OFFICER | B | Control |
| GRIMM, CRAIG, N | I | CHIEF OPERATING OFFICER | B | Control |
| GRIMM, CRAIG, N | I | CHIEF OPERATING OFFICER | B | Control |
| GRIMM, CRAIG, N | I | CHIEF OPERATING OFFICER | B | Control |
| GRIMM, CRAIG, N | I | CHIEF OPERATING OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | B | Control |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | MANAGING MEMBER | B | Control |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | MEMBER | B | |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, CARY, PORTER | I | DIRECTOR AND CHIEF INNOVATION OFFICER | B | Control |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | B | |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | B | |
| JENKINS, JAMES, WENTWORTH | I | DIRECTOR | B | |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| POHMER, KEVIN, PATRICK | I | PRESIDENT - CHIEF COMPLIANCE OFFICER | B | Control |
| CHEROKEE & WALKER FUND II | DE | INVESTOR IN FINANCIAL GUARD | A | |
| CHEROKEE & WALKER FUND II | DE | INVESTOR IN FINANCIAL GUARD | A | |
| CHEROKEE & WALKER FUND II | DE | INVESTOR IN FINANCIAL GUARD | A | |
| CHEROKEE & WALKER FUND II | DE | INVESTOR IN FINANCIAL GUARD | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
Registrations
Federal
IA
Nov 7, 2022 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
47 WEST 200 SOUTH2ND FLOOR
SALT LAKE CITY, UT 84101
United States
Phone: 614-973-6999