Multi Financial Securities Corporation (Denver)

Name: Multi Financial Securities Corporation
Address: 4600 S. Syracuse, Denver, CO, 80237
Telephone: 800-929-3485

Multi Financial Securities Corporation is a large advisory firm based in Denver. It manages $5.8 billion of regulatory assets for 30,226 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Multi Financial Securities Corporation provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Multi Financial Securities Corporation: assets under management

The assets under management (AUM) of Multi Financial Securities Corporation is $5.8 billion. The firm's AUM has grown by 1349% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.8 billion in discretionary accounts and $3 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $176.76 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $208.25 thousand.

Multi Financial Securities Corporation has custody of $5.16 billion in cash and securities for 26,850 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Multi Financial Securities Corporation for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Multi Financial Securities Corporation

George Theodore Diachok has been acting as President since 1 Jan 1987. Bryan K Jacobsen joined the executive team most recently as the Advisory Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
George Theodore Diachok	Chairman/ceo	1 Jan 1987	Other	66991
Douglas Guy Templetrujillo	Cfo/cco	1 Dec 1993	Other	707885
Russell Rhine Diachok	President/coo	1 Jan 1997	Other	1049804
Inc. Multi Financial Group	Parent corporation	1 Apr 1998	75% - 100%	84-0623641
Robin Michelle Wolfgram	Municipal principal	1 Apr 2000	Other	2223962
Jason Guy Hovde	Srop/crop	1 Jan 2001	Other	2846255
Heather Rene Craven	Srop/crop	1 Apr 2001	Other	2848231
Kerry Elizabeth Cunningham	Director	1 Aug 2001	Other	4466477
Robert Jack Conley	Chairman	1 Apr 2002	Other	1186383
Patrick Henry Mcevoy	President/ceo	1 Apr 2002	Other	1796543
Norman Mark Marr	Director, vp	1 Jul 2002	Other	2790881
Everett Paul Jr Stewart	Cfo	1 Aug 2002	Other	2025188
Matthew Ray Bott	Municipal principal	1 Aug 2002	Other	2521201
Valerie Gay Brown	Director, vp	1 Sep 2002	Other	4619265
Richard Vaughan Dunstan	Srop/crop	1 Nov 2002	Other	1632092
Richard Vaughan Dunstan	Municipal principal	1 Jan 2003	Other	1632092
Richard Vaughan Dunstan	Cco	1 Jul 2003	Other	1632092
Sander James Ressler	Cco	1 Oct 2003	Other	1455553
Brett Lamar Harrison	Coo, senior vice president	1 Oct 2003	Other	4032238
John Stephen Simmers	Director, vp	1 Jan 2004	Other	711578
Cynthia A Hamel	Director	1 Jan 2004	Other	3014361
Llc Multi Financial Group	Parent corporation	1 Jan 2004	75% - 100%	84-0623641
Anita Faye Woods	Cfo	1 Mar 2005	Other	3118458
Richard Vaughan Dunstan	Cco	1 Oct 2005	Other	1632092
Mark Albert Macumber	Srop	1 Oct 2005	Other	2652914
Stanley Robert Smiley	Vice president	1 Feb 2006	Other	3004604
Bernard Andre Breton	Chief compliance officer	1 May 2006	Other	2030660
Randall Lee Ciccati	Director, vp	1 Apr 2007	Other	1569353
Kevin Michael Laraia	Director	1 Apr 2007	Other	2456743
Richard Paul Kundracik	Vice president and national sales manager	1 Aug 2008	Other	1212638
Valerie Gay Brown	Director and chairman	1 Oct 2009	Other	4619265
Brett Lamar Harrison	Director, president and cheif executive officer	1 Oct 2009	Other	4032238
Mark Paul Shelson	Chief financial officer and treasurer	1 Feb 2010	Other	1819252
Gregory Alan Olson	Assistant secretary	1 Feb 2010	Other	2692482
Barnaby James Grist	Director and vice president	1 Oct 2010	Other	3220850
Cynthia A Hamel	Vice president	1 Oct 2010	Other	3014361
Inc. Cetera Financial Group	Shareholder; 100% of common stock	1 Dec 2010	75% - 100%	30-0588666
Bryan K Jacobsen	Advisory chief compliance officer	1 Apr 2012	Other	3055957
James Walter Shay	Head of risk management	1 Apr 2012	Other	3247381

Indirect Owners

The SEC currently registers 16 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ing Verzekeringen N.V. ("Verzekeringen")	Sole shareholder	1 Dec 1963	75% - 100%
Ing Insurance International B.V. ("Ing Int'l")	Sole shareholder	1 Apr 1977	75% - 100%
N.V. Ing Groep	Sole shareholder	1 Mar 1991	75% - 100%
Inc. Ing Advisors Network	Sole shareholder	1 Apr 1998	75% - 100%	52-2215129
Llc. Ing Brokers Network	Sole shareholder	1 Apr 1998	75% - 100%	52-2215129
Inc. ("Ing Us") Ing America Insurance Holdings	Sole shareholder	1 Dec 1999	75% - 100%	52-1222820
Inc. Ing Advisors Network	Sole share holder	1 Dec 1999	75% - 100%	52-2215129
Donald Baird Marron	Sole member	1 Mar 2001	75% - 100%	320532
Lp Lightyear Fund Ii Gp	General partner	1 Aug 2005	75% - 100%	20-3852817
Llc Lightyear Fund Ii Gp Holdings	General partner	1 Aug 2005	75% - 100%	20-3852557
Llc Marron & Associates	Managing member	1 Aug 2005	75% - 100%	13-4146065
Inc. Lion Connecticut Holdings	Sole shareholder	1 Dec 2006	75% - 100%	02-0488491
Llc Chestnut Venture Holdings	Sole member	1 Dec 2007	75% - 100%	13-4162378
Inc Cetera Financial Holdings	Shareholder; 100% of common stock	1 Nov 2009	75% - 100%	30-0588663
Lp Lightyear Fund Ii	Shareholder; 99.736% of common stock	1 Nov 2009	75% - 100%	20-3859450
Inc Cetera Financial Group	Shareholder; 100% of common stock	1 Jan 2010	75% - 100%	30-0588666

Based in Denver

The principal office where Multi Financial Securities Corporation performs its advisory services is located at 4600 S. Syracuse, Denver, CO 80237 The mailing address of the firm is P.O. Box 5120, Denver, CO 80217. An additional office of the firm is in Waterloo, IA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-929-3485 or by fax 877-338-1798. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.multifin.com.