Girard Securities, Inc. (San Diego)

Name: Girard Securities, Inc.
Address: 9560 Waples Street, San Diego, CA, 92121
Telephone: 858-622-2140

Girard Securities, Inc. is a large advisory firm based in San Diego. It manages $596.8 million of regulatory assets for 2,658 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Girard Securities provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Girard Securities: assets under management

The assets under management (AUM) of Girard Securities, Inc. is $596.8 million. The firm's AUM has grown by 1655% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $510.05 million in discretionary accounts and $86.75 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $211.38 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $354.07 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Girard Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Girard Securities, Inc.

Girard Securities, Inc. is owned by Kaye Alycia Woltman. John Arthur Iii Barragan has been acting as President since 1 Jul 2014. Stanley Robert Smiley joined the executive team most recently as the Vp.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Melisa Reasner Mcguire	Chairman,president, director and ceo	1 Jun 1993	75% - 100%	1743752
Margaret Susan Woltman	Senior vice president	1 Dec 2001	Other	1294862
Kenneth Merle Jr Johnston	Srop/crop/cco	1 Jan 2002	Other	2437725
Daniel Francis Kiernan	Finop	1 Aug 2002	Other	1874759
Margaret Susan Woltman	Senior vice president	1 Dec 2002	Other	1294862
Kenneth Merle Jr Johnston	President/ceo/coo/crop	1 Dec 2002	Other	2437725
Melisa Mcguire Trust Dated 12/19/2002	Owner	1 Dec 2002	75% - 100%	xxx-xx-xxxx
Kaye Alycia Woltman	Successor trustee	1 Dec 2002	Other	328175
Jill Ann Lukehart	Coo/srop	1 Jan 2003	Other	1096646
Scott Patrick Tarra	Finop	1 Jan 2003	Other	4593965
Richard Paul Woltman	Chairman	1 Apr 2003	Other	600264
Kaye Alycia Woltman	Vice chairman	1 Apr 2003	Other	328175
Kaye Alycia Woltman	Municipal bond principal	1 May 2003	Other	328175
Houston Allen Goddard	General counsel/cco/srop	1 Feb 2004	Other	1260759
Jenny Jean Erno	Municipal bond principal	1 Apr 2004	Other	2682391
Kaye Alycia Woltman	Owner	1 May 2004	75% - 100%	328175
Ronald William Borio	Finop/cfo/vp	1 Jul 2004	Other	1092663
Houston Allen Goddard	General counsel/srop	1 Feb 2005	Other	1260759
Katherine Sue Hinck	Chief compliance officer	1 Sep 2005	Other	2253430
Houston Allen Goddard	General counsel/srop/chief compliance officer	1 Feb 2006	Other	1260759
Kaye Alycia Woltman	President	1 Apr 2006	75% - 100%	xxx-xx-xxxx
Richard Paul Woltman	Chief executive officer	1 Apr 2006	Other	600264
Margaret Susan Woltman	Executive vice president/branch development & marketing	1 May 2006	Other	1294862
Margaret Susan Tietjen	Executive vice president/branch development & marketing	1 May 2006	Other	1294862
Constance Miller Cook Waitman	Executive vice president/operations	1 Jun 2006	Other	1448191
Constance Miller Cook Waitman	Municipal bond principal	1 Jul 2006	Other	1448191
Jenny Jean Erno	Crop	1 Sep 2006	Other	2682391
Constance Miller Cook Waitman	Finop	1 Oct 2006	Other	1448191
Gregory Leonard Lariccia	Srop	1 Oct 2006	Other	1650922
Dante Fichera	Finop	1 Nov 2006	Other	3059445
Richard Paul Woltman	Tte, richard p. woltman trust uta dtd january 10, 2008 & the woltman family trust uta 92-1998	1 Jan 2008	Other	600264
2008 Richard P. Woltman Trust Uta Dtd January 10	Owner	1 Jan 2008	Other	31-3247105
Constance Miller Cook Waitman	Finop	1 Feb 2009	Other	1448191
Shirley Anne Klicman	Finop	1 Jan 2010	Other	1771713
Margaret Susan Tietjen	Chief executive officer	1 Jan 2010	Other	1294862
Uta 92 1998 The Woltman Family Trust	Owner	1 Jul 2010	25% - 50%	35-3283500
Richard Paul Woltman	Tte, owner	1 Jul 2010	50% - 75%	xxx-xx-xxxx
Margaret Susan Tietjen	Owner	1 Jul 2010	Other	xxx-xx-xxxx
2008 Richard P. Woltman Trust Uta Dtd January 10	Owner	1 Jul 2010	50% - 75%	31-3247105
Margaret Susan Tietjen	Chief compliance officer	1 Jul 2012	Other	1294862
Gary Christopher Galarpe	Municipal bond principal	1 Jul 2012	Other	2384835
Patti Ann Kuhlman	Chief compliance officer	1 Oct 2012	Other	1137024
John Arthur Iii Barragan	Chief operations officer	1 Oct 2012	Other	2941942
Richard P. Woltman Irrevocable Trust Dated 12/19/2012	Owner	1 Dec 2012	50% - 75%	46-6464229
Traci Lynn Sherrod	Municipal bond principal/avp enterprise risk management/osj supervision	1 May 2013	Other	4321192
Traci Lynn Tarpy	Municipal bond principal/avp enterprise risk management/osj supervision	1 May 2013	Other	4321192
Margaret Susan Tietjen	Chief executive officer	1 Jul 2014	Other	1294862
John Arthur Iii Barragan	President/chief operations officer	1 Jul 2014	Other	2941942
Jason Dylan Rogers	Senior executive vice president	1 Jul 2014	Other	2641674
Richard Paul Woltman	Chairman emeritus /trustee	1 Jul 2014	Other	xxx-xx-xxxx
Chargers Acquisition Llc	Shareholder	1 Mar 2015	75% - 100%	32-0446470
Bryan K Jacobsen	B-d cco, secretary	1 Dec 2015	Other	3055957
Luanne Marie Borowski	Advisory cco	1 Jan 2016	Other	2310126
Luanne Marie Graham	Advisory cco	1 Jan 2016	Other	2310126
Stanley Robert Smiley	Vp	1 Aug 2016	Other	3004604
James David Ballard	Vp	1 Aug 2016	Other	1714327
Ralph Lawrence Roth	Director	1 Aug 2016	Other	1432179
Brett Lamar Harrison	Director	1 Aug 2016	Other	4032238
Gregory Alan Olson	Asst. secretary	1 Aug 2016	Other	2692482

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Rcs Capital Holdings	Holding company	1 Apr 2014	75% - 100%	46-4779238
Llc Rcs Capital Holdings	Shareholder	1 Mar 2015	75% - 100%	46-4779238
Rcs Capital Corporation	Sole member	1 Mar 2015	75% - 100%	38-3894716
Inc. Aretec Group	Sole member	1 Mar 2015	75% - 100%	38-3894716

Based in San Diego

The principal office where Girard Securities, Inc. performs its advisory services is located at 9560 Waples Street, San Diego, CA 92121 The mailing address of the firm is 9560 Waples Street, San Diego, CA 92121. An additional office of the firm is in Arcadia, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858-622-2140 or by fax 858-622-0649. The normal business hours are 7:00am-4:00pm on Monday - Friday. You can find more information about the New York firm at girardsecurities.com.