Focus Securities LLC

Broker-DealerFINRA MemberEst. 2010
Total AUM
—
Advisory reps
35
Avg account
$0

Firm details

Headquarters
Gainesville, Virginia
CRD number
150589
Registered since
January 28, 2010

Firm profile

FINTRX

Overview

Focus Securities LLC is organized as a limited liability company and is registered with the SEC (registration year 2010). The firm is classified as an investment bank rather than a traditional registered investment adviser or capital allocator. Ownership is listed as a domestic entity and individual combination. Public-facing activity fields such as advisory services, business activities, and client types were not supplied in the source data. Registered attributes in the filing indicate the firm does not identify as an active ESG investor, is not a multi-state adviser, is not newly formed, and does not serve as a pension consultant or related adviser. Those designations imply a narrow set of regulatory filings and that the firm is not positioning itself as a multi-jurisdictional advisory practice in the data provided.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Richard Thomas

    Richard Thomas

    CEOCRD 5325274

  • Richard Thompson

    Richard Thompson

    Chief Financial OfficerCRD 5685646

  • Robert Beard

    Robert Beard

    Chief Compliance Officer and Managing DirectorCRD 5771682

Contacts

3 of 32
  • James Sowers

    James Sowers

    Managing DirectorCRD 2750799

  • John Slater

    John Slater

    Senior AdvisorCRD 1067061

  • John Sinders

    John Sinders

    Managing DirectorCRD 1699455

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Gainesville, VA

Prince William

Location

Gainesville, VA

Headquartered in Gainesville, VA, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region
South
County
Prince William
Address
7371 Atlas Walk Way
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth