Securities Management & Research, Inc.

Broker-DealerFINRA MemberEst. 1966
Total AUM
Advisory reps
81
Avg account
$0

Firm details

Headquarters
Cedar Rapids, Iowa
CRD number
759
Registered since
March 5, 1966

Firm profile

FINTRX

Overview

Securities Management & Research, Inc. is organized as a corporation and is listed in FINTRX as having registered with the SEC in 1966. The platform records the firm's ownership as a mix of a domestic entity and individual ownership and classifies the firm as "Unclassified." FINTRX flags the firm as not acting as a capital allocator and not an active ESG investor. It is also listed as not being a multi-state adviser, not newly formed, not a pension consultant, and not a related adviser. The firm did not provide FINTRX with detail on its business activities, advisory services, client base, fee structure, or affiliations. FINTRX also indicates the firm has not supplied information about its activities and affiliations.

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 7
  • Kimberly Chapman

    Kimberly Chapman

    Chief Compliance OfficerCRD 2527036

  • Joanna Schaul

    Joanna Schaul

    Chief Administrative OfficerCRD 4947759

  • Brittany Michelle Noethen

    Brittany Michelle Noethen

    Chief Technology OfficerCRD 2610543

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Contacts

3 of 74
  • Kacey Thomas

    OwnerCRD 3214716

  • Brian Bortz

    Multi-Line General AgentCRD 1698033

  • Edwin Alft

    Edwin Alft

    OwnerCRD 1773831

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Cedar Rapids, IA

Linn

Location

Cedar Rapids, IA

Headquartered in Cedar Rapids, IA, anchoring the Cedar Rapids-Iowa City, IA metro in the Midwest.

Metro area
Cedar Rapids-Iowa City, IA
Region
Midwest
County
Linn
Address
4201 42nd St Ne
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth