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          Springer Financial Advisors has 1 locations, listed below.

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            Business ProfileforSpringer Financial Advisors

            Financial Planning Consultants

            Current Alerts For This Business

            Government Action: BBB reports on known government actions involving business’ marketplace conduct::
            The Securities and Exchange Commission v. Keith Springer and Springer Investment Management, Inc. DBA Springer Financial Advisors

            The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below:

            On December 19, 2019 The Securities and Exchange Commission (SEC) charged Keith Springer and Springer Investment Management, Inc. DBA Springer Financial Advisors (SFA) with defrauding hundreds of retail clients. The SEC's complaint alleges that Springer and SFA received millions of dollars in undisclosed compensation and other benefits for recommending certain investment products while claiming that they did not have any conflicts of interest.

            On September 2, 2022 the defendants consented to the Court's Final Judgement without admitting or denying the SEC's allegations. According to the Final Judgement, the defendants are ordered to cease engaging in fraudulent business activity and to pay $400,000 in civil penalties.

            At-a-glance

            Customer Reviews

            This business has 0 reviews

            Customer Complaints

            This business has 0 complaints

            Customer Reviews are not used in the calculation of BBB Rating

            Reasons for BBB Rating

            Business Details

            BBB File Opened:
            3/9/2000
            Years in Business:
            27
            Business Started:
            1/8/1997
            Business Incorporated:
            1/8/1997
            Licensing Information:
            This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.
            BBB records show a license number of 0G11958 for this business, issued by Department of Insurance

            These agencies may include:

            Department of Insurance

            (800) 927-4357

            http://www.insurance.ca.gov

            Type of Entity:
            Corporation
            Alternate Business Name
            • Springer Insurance Solutions
            • CAPFAS Insurance Solutions
            • Springer Investment Management
            • Capital Financial Advisory Services
            • Springer Investment Management, Inc.
            Business Management
            • Mr. Keith W. Springer, CEO
            • Ms. Becky Altman, Operations Manager
            • Ms. Deanna Erdman, Operations Manager
            Contact Information

            Principal

            • Ms. Becky Altman, Operations Manager

            Customer Contact

            • Ms. Deanna Erdman, Operations Manager
            Additional Contact Information

            Fax Numbers

            • (916) 925-8914
              Primary Fax

            Phone Numbers

            Customer Complaints

            0 Customer Complaints

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            Customer Reviews

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            Local BBB

            BBB of Northeast California

            BBB Reports On

            BBB reports on known marketplace practices.

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