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CRD 5155
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| I•••••• S•••• L•••• | EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, SROP, CROP | Na | yes | 06/2008 | Dec 9, 2011 | Dec 9, 2011 |
| I•••••• S•••• L•••• | Shareholder | F | yes | 12/2009 | Dec 9, 2011 | Dec 9, 2011 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN FRANCISCO | CA | United States | n/a | no |
| Shareholder |
| D |
| yes |
| 07/2002 |
| Dec 9, 2011 |
| Dec 9, 2011 |
| U•••••••• D•••• W•••• J• | CHAIRMAN, CEO & PRESIDENT | Na | yes | 03/2003 | Dec 9, 2011 | Dec 9, 2011 |
| B••••••• D•••• B••••••• | Finop | Na | no | 07/2003 | Dec 9, 2011 | Dec 9, 2011 |
| G••••••••• T••••• J••••• | Shareholder | F | no | 12/2009 | Dec 9, 2011 | Dec 9, 2011 |
| J•• M•••• I••••••••• L•• | Shareholder | F | no | 12/2009 | Dec 9, 2011 | Dec 9, 2011 |
| L•••• E•• C•••• | Owner | E | no | 12/2001 | Dec 9, 2011 | Dec 9, 2011 |
| O••••••••• S••••• F• | Shareholder | F | no | 12/2009 | Dec 9, 2011 | Dec 9, 2011 |