Findec Wealth Services, Inc.
● SEC registered since 2021CRD 311949SEC# 801-120139Stockton, CA
Reg. AUM
$627.9M
Employees
5
Accounts
822
Location
Stockton, CA
Findec Wealth Services, Inc. assets under management
Findec Wealth Services, Inc. is an investment advisory firm registered with the SEC based in Stockton, CA. The firm has been registered since 2021. It reports $627.9 million in regulatory assets under management and employs 5 people.
Findec Wealth Services, Inc. owners & executives
5 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Findec Co. Control | Parent Company | Over 75% | 2020 |
| Kenneth Robert Herold | Chief Compliance Officer | Under 5% | 2020 |
| Michael E Lee Control | President & Chief Executive Officer | Under 5% | 2020 |
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Join to unlock · $37/moFrequently asked questions
How much does Findec Wealth Services, Inc. manage?
Findec Wealth Services, Inc. reports $627.9 million in regulatory assets under management on its Form ADV.
How many employees does Findec Wealth Services, Inc. have?
Findec Wealth Services, Inc. reports 5 employees.
Where is Findec Wealth Services, Inc. located?
Findec Wealth Services, Inc. is based in Stockton, CA and has been SEC-registered since 2021.
Does Findec Wealth Services, Inc. disclose fund performance?
Findec Wealth Services, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1776 W. March Lane, Suite 190, Stockton, CA 95207 |
| Phone | 209-957-7413 |
| Fax | 209-957-1516 |
| Office hours | 8:00 a.m. - 5:00 p.m. |
| SEC region | San Francisco Regional Office (SFRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$627.9M▼ 35%
Jan '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 43%
Larger than 57% of 16,271 advisers
EmployeesTop 62%
More than 38% of 16,825 advisers
Assets under management
$627.9Mregulatory AUM
Discretionary $627.9M