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 has been SEC-registered since 1966. FINTRX classifies the firm as unclassified and lists the owner type as both a domestic entity and an individual. The public record supplied to FINTRX contains minimal detail about the firm's advisory business model, client types, fee arrangements or specific investment mandates. The snapshot indicates the firm does not operate as a capital allocator and is not identified as an active ESG investor. It is also recorded as not being a multi-state adviser, not newly formed, and not a pension consultant or related adviser under the FINTRX fields shown.

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 7
  • KIMBERLY CHAPMAN

    Chief Compliance OfficerCRD 2527036

  • JOANNA SCHAUL

    Chief Administrative OfficerCRD 4947759

  • 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

    OwnerCRD 1773831

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

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