FSC SECURITIES CORPORATION
Adviser information for FSC SECURITIES CORPORATION last updated from Form ADV on October 12th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2174 |
|---|---|
| Investment Advisory/Research | 545 |
| Registered Broker-Dealer Representatives | 1016 |
| Registered State Investment Advisers | 1044 |
| Licensed Agents of an Insurance Company | 391 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 44,137 | $8.7B |
| Non-Discretionary | 8,655 | $3.0B |
| Total | 52,792 | $11.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 28,973 | $5.9B |
| HNW Individuals | 4,631 | $5.5B |
| Banking or thrift institutions | <5 | $514,058 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 57 | $43.1M |
| Charitable organizations | 94 | $60.1M |
| State or municipal gov entities | <5 | $3.6M |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 200 | $220.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2021 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 8.6B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISOR MANAGED PORTFOLIOS | VISION2020 WEALTH MANAGEMENT CORP. |
Principal Office
2300 WINDY RIDGE PKWYSUITE 750
ATLANTA
GA
United States
Monday - Friday, 8:30-5:30
Tel: 1-800-547-2382, Fax: None
Websites
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Chief Compliance Officer
IRYNA NORTHIP
CHIEF COMPLIANCE OFFICER - IA
20 EAST THOMAS ROAD
SUITE 1410
PHOENIX
AZ
United States
Tel:
901-302-6885
I*************@********M
(Full email address available in API data)
Regulatory Contact
MARY WIDMAYER
COMPLIANCE OFFICER - IA
877 EXECUTIVE CENTER DRIVE WEST
300
ST PETERSBURG
FL
United States
Tel:
212-551-5105
M************@********M
(Full email address available in API data)
Industry Affiliates
| AMERICAN PORTFOLIOS ADVISORS, INC | Other investment adviser, including financial planners |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ARBOR POINT ADVISORS | Other investment adviser, including financial planners |
| BLACK DIAMOND FINANCIAL, LLC | Other investment adviser, including financial planners |
| HIGHLAND CAPITAL BROKERAGE | Insurance company or agency |
| INFINEX INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| LADENBURG THALMANN & CO. INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| LADENBURG THALMANN ASSET MANAGEMENT INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| OSAIC WEALTH, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| PREMIER TRUST, INC. | Trust company |
| SAGEPOINT FINANCIAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| SECURITIES AMERICA ADVISORS, INC. | Other investment adviser, including financial plannersInsurance company or agencyPension consultant |
| SECURITIES AMERICA, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| TRIAD ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| TRIAD HYBRID SOLUTIONS | Other investment adviser, including financial planners |
| VISION2020 WEALTH MANAGEMENT CORP. | Other investment adviser, including financial planners |
| WOODBURY FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FINANCIAL SERVICE CORPORATION | Domestic Entity | – | SHAREHOLDER | 04/1990 | > 75% |
| HAMEL, CYNTHIA ANN | Individual | – | EVP, CHIEF OPERATIONS OFFICER | 05/2017 | < 5% |
| OSAIC, INC. | Domestic Entity | FINANCIAL SERVICE CORPORATION | SHAREHOLDER | 10/1997 | > 75% |
| OSAIC HOLDINGS, INC. | Domestic Entity | OSAIC, INC. | SHAREHOLDER | 05/2016 | > 75% |
| PRICE, JAMES DALE | Individual | – | CHAIRMAN | 11/2016 | < 5% |
| SCHMIDT, DAVID MARTIN | Individual | – | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 03/2017 | < 5% |
| HAMMOND, DORI JAMILLE | Individual | – | VP, CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |
| SCHLUETER, MATTHEW ADAM | Individual | – | EVP, DIRECTOR | 03/2019 | < 5% |
| AG PARENT CORPORATION | Domestic Entity | OSAIC HOLDINGS, INC. | SHAREHOLDER | 08/2019 | > 75% |
| AG INTERMEDIATE CORPORATION | Domestic Entity | OSAIC FINANCIAL SERVICES, INC. | SHAREHOLDER | 05/2020 | > 75% |
| AG ARTEMIS HOLDINGS, L.P. | Domestic Entity | AG INTERMEDIATE CORPORATION | SHAREHOLDER | 08/2019 | > 75% |
| RCP ARTEMIS CO-INVEST, L.P. | Foreign Entity | AG ARTEMIS HOLDINGS, L.P. | LIMITED PARTNER | 08/2019 | 50-75% |
| RCP ARTEMIS CO-INVEST GP LLC | Domestic Entity | RCP ARTEMIS CO-INVEST, L.P. | GENERAL PARTNER | 05/2019 | |
| AG ARTEMIS HOLDINGS GP, LLC | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | GENERAL PARTNER | 05/2019 | |
| RCP GENPAR LP | Domestic Entity | RCP OPP FUND II GP, LP | LIMITED PARTNER | 01/2018 | > 75% |
| RCP GENPAR HOLDCO LLC | Domestic Entity | RCP GENPAR LP | LIMITED PARTNER | 08/2014 | > 75% |
| MRB ICBC LLC | Domestic Entity | RCP GENPAR HOLDCO LLC | MEMBER | 08/2014 | 25-50% |
| THE BERLINSKI FAMILY 2006 TRUST | Domestic Entity | MRB ICBC LLC | MEMBER | 08/2014 | > 75% |
| BERLINSKI, MILTON RALPH | Individual | RCP GENPAR LP | GENERAL PARTNER | 02/2014 | |
| BERLINSKI, MILTON RALPH | Individual | RCP GENPAR HOLDCO LLC | MEMBER | 08/2014 | 25-50% |
| BERLINSKI, MILTON RALPH | Individual | MRB ICBC LLC | INVESTMENT MANAGER | 08/2014 | |
| BERLINSKI, MILTON RALPH | Individual | THE BERLINSKI FAMILY 2006 TRUST | TRUSTEE | 06/2006 | 25-50% |
| RCP OPP FUND II GP, LP | Domestic Entity | RCP ARTEMIS CO-INVEST GP, LLC | LIMITED PARTNER | 01/2018 | > 75% |
| OSAIC FINANCIAL SERVICES, INC. | Domestic Entity | AG PARENT CORPORATION | SHAREHOLDER | 05/2020 | > 75% |
| CORNICK, GREGORY ALLEN | Individual | – | DIRECTOR | 01/2021 | < 5% |
| SILLS, JEFFERY SCOTT | Individual | – | CEO, PRESIDENT, DIRECTOR | 10/2021 | < 5% |
| GERB, JASON | Individual | – | SVP, CHIEF REGULATORY OFFICER | 09/2023 | < 5% |
| NORTHRIP, IRYNA YAKOVLEVNA | Individual | – | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 09/2023 | < 5% |