11 FINANCIAL ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 174569
- Firm name
- 11 FINANCIAL
- Other names / DBAs
- 11 FINANCIAL; WHATS A ROLLOVER; PHYSICIAN FINANCIAL PLANNING; NO SWEAT RETIREMENT; KOVAR WEALTH MANAGEMENT; KOVAR CAPITAL MANAGEMENT LLC; KOVAR CAPITAL; K-WM LLC; HOW TO RETIRE IN TEXAS; FINANCE STRATEGIES
- IA scope
- ACTIVE
- SEC IA file
- 801-129130
- Branches
- 6
- Disclosure events
- YES
- HQ
- LUFKIN, TX, 75901, United States
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