Financial Security Solutions, Corp.
- Regulatory AUM
- $69.0M
- Discretionary
- $0
- Clients
- 87
- Avg AUM / client
- $793K
- Accounts
- 167
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Dec 09, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 52 | $22.6M | 32.7% |
| High net worth individuals | 34 | $45.4M | 65.9% |
| Pension and profit sharing plans | 1 | $966K | 1.4% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Karen Ilene Malkoff Hatton | President & Chief Compliance Officer | CFP | Oct 2001 (25y) | 75% or more |
| James Marvin Peebles | Registered representative | Oct 2005 (21y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 12/09/2025 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Sei Investments Distribution Co. $47.0M (68% of AUM) Dec 2025
- Pershing $20.6M (30% of AUM) Dec 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Dec 09, 2025.
View current Form ADV (SEC/IAPD) ↗