The Company
Foothill Securities, Inc. is a FINRA registered broker-dealer, and is registered with the Securities & Exchange Commission (SEC) as an Investment Advisor in both California and Hawaii. Rex Gardiner, along with a partner, founded the securities firm in 1962 specializing in the sale of mutual funds.
In 1976, Mr. Gardiner bought out his partner and decided to leave sales to run the broker-dealer. The firm has grown steadily since, increasing the number of Offices of Supervisory Jurisdiction (OSJ branch offices) and the sales force.
Business Continuity / Disaster Recovery Plan
Foothill Securities, Incorporated's Business Continuity / Disaster Recovery Plan is available for review in Adobe PDF format by clicking here.
Organizational Structure
Foothill is a branch office service organization with more than 60 branch offices and 120 representatives in the States of California and Hawaii. These offices provide a wide range of investment advisory services, and investment products such as mutual funds, variable annuities, variable life, direct participation programs, and stocks & bonds.
The Home Office in Mountain View, California acts as the nerve-center of the firm and is responsible for corporate administration and monitoring sales of its OSJ offices and representatives.
In 1996, a 10-year buy-out program was initiated under which the representatives of the firm are purchasing 10% of the firm's stock each year from the owner, Mr. Gardiner.