SECURITIES AMERICA ADVISORS, INC.
Adviser information for SECURITIES AMERICA ADVISORS, INC. last updated from Form ADV on March 28th, 2024. 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 | Nebraska, United States |
Employees
| Total Number of Employees | 4468 |
|---|---|
| Investment Advisory/Research | 2025 |
| Registered Broker-Dealer Representatives | 2639 |
| Registered State Investment Advisers | 2222 |
| Licensed Agents of an Insurance Company | 1080 |
| No. of Firms/People that Solicit Clients | 99 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 190,930 | $35.2B |
| Non-Discretionary | 20,220 | $5.3B |
| Total | 211,150 | $40.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 129,802 | $24.4B |
| HNW Individuals | 8,086 | $14.6B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2,798 | $502.2M |
| Charitable organizations | 91 | $26.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 765 | $901.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10790 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2500 |
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 |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 28.5B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| KMS ADVISOR MANAGED PROGRAM | SECURITIES AMERICA ADVISORS, INC. |
| ARCHITECT/STRUCTURE PROGRAM | SECURITIES AMERICA ADVISORS, INC. |
| ENACT, ENCOMPASS, ENCOMPASS SMA PROGRAMS | SECURITIES AMERICA ADVISORS, INC. |
| ADVISOR MANAGED PORTFOLIOS | VISION2020 WEALTH MANAGEMENT CORP. |
Principal Office
12325 PORT GRACE BLVD.LA VISTA
NE
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 402-399-9111, Fax: 402-398-1480
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Chief Compliance Officer
IRYNA NORTHRIP
CHIEF COMPLIANCE OFFICER - IA
20 EAST THOMAS
#2000
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 |
| 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 planners |
| OSAIC ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| OSAIC INSTITUTIONS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| OSAIC SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| 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 |
| 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 |
| VISION2020 WEALTH MANAGEMENT CORP. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HULETT, KIRK, JESSE | Individual | – | EXECUTIVE VP, STRATEGY AND PRACTICE MANAGEMENT /DIRECTOR | 01/2012 | < 5% |
| SECURITIES AMERICA FINANCIAL CORP. | Domestic Entity | – | DIRECT OWNER | 09/1982 | > 75% |
| OSAIC HOLDINGS,INC | Domestic Entity | SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | 05/2020 | > 75% |
| RCP ARTEMIS CO-INVEST GP, LLC | Domestic Entity | RCP ARTEMIS CO-INVEST L.P. | GENERSL PARTNER | 05/2019 | |
| AG PARENT CORPORATION | Domestic Entity | RCP ARTEMIS CO-INVEST GP, LLC | 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. | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | LIMITED PARTNER | 06/2019 | 50-75% |
| PRICE, JAMES, DALE | Individual | – | CHAIRMAN | 05/2020 | < 5% |
| SCHLUETER, MATTHEW, ADAM | Individual | – | EXECUTIVE VICE PRESIDENT/DIRECTOR | 05/2020 | < 5% |
| OSAIC FINANCIAL SERVICES, INC. | Domestic Entity | AG PARENT CORPORATION | SHAREHOLDER | 05/2020 | > 75% |
| AG ARTEMIS HOLDINGS GP, LLC | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | GENERAL PARTNER | 05/2019 | |
| RCP ARTEMIS CO-INVEST LP | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | LIMITED PARTNER | 08/2019 | > 75% |
| RCP OPP FUND II GP, LP | Individual | RCP ARTEMIS CO-INVEST GP, LLC | LIMITED PARTNER | 01/2018 | > 75% |
| 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 ICB LLC | Domestic Entity | RCP GENPAR HOLDCO, LLC | MEMBER | 08/2014 | 25-50% |
| THE BERLINSKI FAMILY 2006 TRUST | Domestic Entity | MRB ICB LLC | MERMBER | 08/2014 | > 75% |
| BERLINSKI, MILTON, RALPH | Individual | THE BERLINSKI FAMILY 2006 TRUST | TRUSTEE | 06/2006 | |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR, LP | GENERAL PARTNER | 08/2014 | |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR HOLDCO, LLC | MEMBER | 08/2014 | 25-50% |
| BERLINSKI, MILTON, RALPH | Individual | MRB ICB LLC | INVESTMENT MEMBER | 08/2014 | |
| SCHMIDT, DAVID, MARTIN | Individual | – | TREASURER | 03/2021 | < 5% |
| Northrip, Iryna, Yakovlevna | Individual | – | SVP, CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| FORD, ERINN, JUNE | Individual | – | INTERIM CHIEF EXECUTIVE OFFICER, PRESIDENT | 01/2024 | < 5% |