Renton, WA Office
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Continental Investors Services, Inc.
Team
Firm-wide stats for Continental Investors Services, Inc.
About
The firm provides investment advisory and portfolio management services primarily to individual retail clients, using asset-based fee arrangements as its principal billing method. It is registered as an investment adviser in all 50 states and also maintains broker-dealer activity, offering commissionable insurance and brokerage transactions in certain circumstances.
Continental’s advisers emphasize securities management and trading coverage that includes fixed income and municipal markets, with account supervision conducted under a designated compliance officer. The brochure indicates the firm does not position its offering around comprehensive financial planning for clients, instead focusing on discretionary and non-discretionary investment account management.
Noteworthy for a team-sized registered adviser, the firm operates affiliated broker-dealer activities and has a history of two past broker-dealer regulatory matters involving municipal securities reporting and pricing, which are disclosed in the brochure. The firm also discloses that some principals receive commission-based compensation for insurance sales, and it primarily serves non–high-net-worth retail clients rather than a high-net-worth clientele.
Based on Continental Investors Services, Inc.
Location
Renton WA
Advisors at this office
1
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