Girard Securities, Inc. (San Diego)


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. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. 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.

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