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Financial Action, Inc. CRD 140285
$100M regulatory AUM 14 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
283 Washington St, Monument, CO 80132 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-09-16 |
| CO | RA | APPROVED | 2013-07-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Action, Inc. | Monument | CO | 07/2013 | Present |
Roque Property Management, LLC.; Start Date: 08/2024; Fort Myers, Florida; Owner; Vacation Rental; Less Than 10% of Time Spent During Securities Trading Hours; Less Than 10% of Time Spent Outside of Securities Trading Hours 10% of Time Spent During Securities Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-25 |
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