0001617177-19-000001.txt : 20190408
0001617177-19-000001.hdr.sgml : 20190408
20190408132827
ACCESSION NUMBER: 0001617177-19-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190328
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Government Financial Strategies inc.
CENTRAL INDEX KEY: 0001617177
IRS NUMBER: 954193488
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00775
FILM NUMBER: 19737072
BUSINESS ADDRESS:
STREET 1: 1228 N STREET, #13
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
BUSINESS PHONE: 9164445100
MAIL ADDRESS:
STREET 1: 1228 N STREET, #13
CITY: SACRAMENTO
STATE: CA
ZIP: 95814
MA-A
1
primary_doc.xml
MA-A
0001617177
XXXXXXXX
Richard Edward Malone
916-444-5100
rich@gfsi.com
12-31-2018
Y
Government Financial Strategies inc.
95-4193488
866-00402-00
867-00775
1228 N Street, #13
Sacramento
CA
95814
916-444-5100
916-444-5103
N
1228 N STREET, #13
SACRAMENTO
CA
95814
www.gfsi.com
Richard
Edward
Malone
1228 N Street, #13
Sacramento
CA
95814
916-444-5100
916-444-5103
rich@gfsi.com
GFS Australia Pty Ltd
Y
Australian Securities and Investments Commission
163-103-688
C3
December
CA
11-15-1988
N
10
6
0
0
0
86
Municipal Entities
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice On Selection
Y
Other municipal advisor
2
Add
Other municipal advisor
GFS Australia Pty. Ltd.
GFS Australia Pty. Ltd.
Y
N
N
Add
Other municipal advisor
Jonathan Scott Edwards
Jonathan Scott Edwards
Y
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
Item 6: Jonathan Scott Edwards was originally hired by Government Financial Strategies inc. on February 6, 1996, and worked out of the Sacramento office. In May 2013, Jonathan Edwards moved back to his native Australia. In order for Jonathan Edwards to continue working for Government Financial Strategies inc., GFS Australia Pty. Ltd., an Australian company 100% owned by Government Financial Strategies, was created. Jonathan Edwards officially began working for GFS Australia Pty. Ltd. in July 2013, and his sole business is supporting Government Financial Strategies inc.'s municipal advisory clients. Jonathan Edwards is included in the total number of employees identified in Item 4A and 4B.
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Lori
NMN
Raineri
President
11-15-1988
E
Y
000000000
Richard
Edward
Malone
Chief Compliance Officer
01-01-2014
NA
N
000000000
Amend
Lori
NMN
Raineri
President
11-15-1988
E
Y
000000000
Amend
Richard
Edward
Malone
Chief Compliance Officer
01-01-2014
NA
N
000000000
9-A2
Matthew Scott Kolker
868-03404
08-15-2018
0001617177-18-000008
Richard Ma.pme
Richard Malone
Chief Compliance Officer
03-28-2019
N
N
N
N
N
Y
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N