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1702 State Street, Cedar Falls, IA 50613 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-08 |
| MN | RA | APPROVED | 2019-10-16 |
| IA | RA | APPROVED | 2016-05-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dominion Investor Services, Inc. | Horseshoe Bay | TX | 05/2016 | 06/2023 |
| Fencl Advisory Services, Llc | Cedar Falls | IA | 04/2016 | Present |
| Calton & Associates, Inc. | Cedar Falls | IA | 06/2023 | Present |
| Icm Financial Services | Cedar Falls | IA | 05/2016 | Present |
Owner, control person, and IAR for Fencl Advisory Services, LLC. Provide investment management and financial planning advice. Accounts for approx 90% of time and business activities. Owner and President of ICM Financial Services, Inc. ICM Financial is a C corp in the state of Iowa and provides administrative support to Fencl Advisory Services. It also provides fixed insurance to clients, primarily through Ash Brokerage. Sole member of Spash Properties, LLC, a real estate holding company for rental properties. Currently own 1 property only, used for my financial services office building and accounts for less than 5% of time.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-05-24 |
| S65 | Uniform Investment Adviser Law Examination | 2016-05-12 |
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