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Steven K. McGinnis
Compliance Officer chez
SA Funds – Investment Trust
Profil
Steven K.
McGinnis is currently the Chief Compliance Officer at SA Funds - Investment Trust and the Chief Regulatory Officer at Loring Ward Securities, Inc. He previously worked as the Chief Regulatory Officer at Prudential Plc, the Secretary & General Counsel at Loring Ward International Ltd., the Chief Legal & Regulatory Officer at National Planning Holdings LLC, and the Chief Regulatory Officer at LWI Financial, Inc.
Postes actifs de Steven K. McGinnis
| Sociétés | Poste | Début |
|---|---|---|
Loring Ward Securities, Inc.
 Loring Ward Securities, Inc. Investment Banks/BrokersFinance Part of Focus Financial Partners, Inc., Loring Ward Securities, Inc. is a company based in San Jose, CA. The company was founded by Alexander Bennett Potts. | Conseiller Juridique Général | 12/08/2009 |
SA Funds – Investment Trust
 SA Funds – Investment Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Unit Investment Trust | Compliance Officer | - |
Anciens postes connus de Steven K. McGinnis
| Sociétés | Poste | Fin |
|---|---|---|
| PRUDENTIAL PLC | Conseiller Juridique Général | - |
LWI Financial, Inc.
 LWI Financial, Inc. Investment ManagersFinance LWI Financial utilizes investment strategies that are based on target asset-class allocations to reflect the client's clients individual financial circumstances, expressed cash needs, risk tolerance, investment objectives and other factors. The asset class allocation programs designate specified percentages within multiple securities asset classes with the intent of creating a diversified investment portfolio of no-load or low-load mutual funds. The firm does not recommend investments into individual securities. They employ a proprietary method of asset class allocation based on academic and behavioral economic studies. LWI's asset class allocation programs and advice concerning securities is based on publicly-available research and reports regarding Efficient Markets Theory, adjusted for certain behavioral economic factors. The asset class allocations are adjusted for risk. LWI's recommendations are designed for longer-term investors. The firm uses financial simulation programs which calculate the effects of various historical rates of return from different asset classes to assist in the preparation of asset allocation plans. | Conseiller Juridique Général | - |
National Planning Holdings LLC
 National Planning Holdings LLC Insurance Brokers/ServicesFinance Operates as a broker-dealer holding company | Conseiller Juridique Général | - |
Loring Ward International Ltd.
 Loring Ward International Ltd. Investment ManagersFinance Provides investment advisory and asset management services | Conseiller Juridique Général | - |
Expériences
Fonctions occupées
Actives
Inactives
Sociétés cotées
Entreprise privées
Relations
2
Relations au 1er degré
6
Entreprises liées au 1er degré
Homme
Femme
Administrateurs
Exécutifs
Sociétés liées
| Entreprise privées | 6 |
|---|---|
Prudential Plc
 Prudential Plc Multi-Line InsuranceFinance Provides life & health insurance and asset management services | Finance |
SA Funds – Investment Trust
SA Funds – Investment Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Unit Investment Trust | Miscellaneous |
Loring Ward Securities, Inc.
Loring Ward Securities, Inc. Investment Banks/BrokersFinance Part of Focus Financial Partners, Inc., Loring Ward Securities, Inc. is a company based in San Jose, CA. The company was founded by Alexander Bennett Potts. | Finance |
Loring Ward International Ltd.
Loring Ward International Ltd. Investment ManagersFinance Provides investment advisory and asset management services | Finance |
National Planning Holdings LLC
National Planning Holdings LLC Insurance Brokers/ServicesFinance Operates as a broker-dealer holding company | Finance |
LWI Financial, Inc.
LWI Financial, Inc. Investment ManagersFinance LWI Financial utilizes investment strategies that are based on target asset-class allocations to reflect the client's clients individual financial circumstances, expressed cash needs, risk tolerance, investment objectives and other factors. The asset class allocation programs designate specified percentages within multiple securities asset classes with the intent of creating a diversified investment portfolio of no-load or low-load mutual funds. The firm does not recommend investments into individual securities. They employ a proprietary method of asset class allocation based on academic and behavioral economic studies. LWI's asset class allocation programs and advice concerning securities is based on publicly-available research and reports regarding Efficient Markets Theory, adjusted for certain behavioral economic factors. The asset class allocations are adjusted for risk. LWI's recommendations are designed for longer-term investors. The firm uses financial simulation programs which calculate the effects of various historical rates of return from different asset classes to assist in the preparation of asset allocation plans. | Finance |
