FINANCIAL SECURITY MANAGEMENT, INC
Adviser information for FINANCIAL SECURITY MANAGEMENT, INC last updated from Form ADV on March 20th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,436 | $439.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2,436 | $439.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 846 | $156.7M |
| HNW Individuals | 207 | $282.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agentTAX PLANNING AND BOOK-KEEPING |
Identifiers
| SEC RIA File Number | 801-81072 |
|---|---|
| SEC ERA File Number | 801-81072 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116570 |
| Legal Entity Identifier | None |
Principal Office
2535 S LEWIS WAYSUITE 201
LAKEWOOD
CO
United States
Monday - Friday, 8AM TO 5PM
Tel: 303-988-1411, Fax: 303-988-1447
Websites
Chief Compliance Officer
LORI MILLER
2535 S. LEWIS WAY
SUITE 201
LAKEWOOD
CO
United States
Tel:
303-988-1411
Fax:
303-988-1447
L******@**********M
(Full email address available in API data)
Regulatory Contact
JEFFREY S LARKIN
PRESIDENT
2535 S LEWIS WAY
SUITE 201
LAKEWOOD
CO
United States
Tel:
303-988-1411
Fax:
303-988-1447
J******@**********M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL SECURITY REALTY LLC | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LARKIN, JEFFREY, SCOTT | Individual | – | PRESIDENT/TREASURER | 01/2012 | 50-75% |
| TORRISON, JEFFREY, STEVEN | Individual | – | SHAREHOLDER | 01/2012 | 25-50% |
| MILLER, LORI, ANN | Individual | – | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT | 02/2020 | < 5% |
| TERRY, AMY, LOUISE | Individual | – | SECRETARY | 02/2024 | < 5% |