WATERSTONE FINANCIAL GROUP, INC.
CRD #10078 SEC #801-62113 ITASCA, IL 630-250-7000
SEC Registered Broker-Dealer
Total AUM
$546M
Discretionary
$360M
Employees
51
Clients
101
Accounts
3,335
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 4, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO,CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| ANDERSON, STEPHEN FRANCIS | I | DIRECTOR, COO | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAIN, DAVID CHARLES | I | MUNICIPAL PRINCIPAL, SROP, CROP,VICE-PRESIDENT | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| CRAWFORD, PATRICIA IBARRA | I | COMPLIANCE OFFICER | NA | |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DEERING, PETER STEVENS | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | DIRECTOR | NA | Control |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | Control |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | Control |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | Control |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DREHER, JAMES AUGUST | I | DIRECTOR | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DUDAS, STEPHEN STANLEY | I | CHIEF FINANCIAL OFFICER | NA | |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HICKS, JOHN BRYAN | I | VICE-PRESIDENT | NA | |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CCO-RIA | NA | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CCO-RIA | NA | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CCO-RIA | NA | Control |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | CHIEF COMPIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| LUKOWSKI, JOSEPH DOMINIC | I | COMPLIANCE OFFICER | NA | |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBERTS, DAVID BRUCE | I | DIRECTOR, SENIOR VICE-PRESIDENT | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| ROBINSON, GERALD WILLIAM II | I | DIRECTOR | NA | Control |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| SEREDA, PATRICK ALLEN | I | PRINCIPAL | NA | |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | DE | OWNER | E | Control |
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | DE | OWNER | E | Control |
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | DE | OWNER | E | Control |
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | DE | OWNER | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, INC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, INC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC. | DE | OWNER | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | D | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| HOPKINS, THOMAS ARTHUR | I | DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO | C | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | C | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| TPG ADVISORS IV, INC | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG GENPAR, IV, LP | DE | TPG PARTNERS IV, LP | F | Control |
| TPG GENPAR, IV, LP | DE | TPG PARTNERS IV, LP | F | Control |
| TPG GENPAR, IV, LP | DE | TPG PARTNERS IV, LP | F | Control |
| TPG GENPAR, IV, LP | DE | TPG PARTNERS IV, LP | F | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPENDENT ADVISOR SERVICES GROUP LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPENDENT ADVISOR SERVICES GROUP LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPENDENT ADVISOR SERVICES GROUP LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPENDENT ADVISOR SERVICES GROUP LLC | E | Control |
| LPL INVESTMENT HOLDINGS, INC | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC | DE | LPL HOLDINGS, INC. | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | OWNS 100% OF PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | E | Control |
| PACIFIC SELECT GROUP, LLC | DE | WATERSTONE FINANCIAL GROUP | E | Control |
| PACIFIC SELECT GROUP, LLC | DE | WATERSTONE FINANCIAL GROUP | E | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC | C | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC | C | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFE INSURANCE COMPANY | DE | OWNS 100% OF PACIFIC SELECT DISTRIBUTOR, INC. | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC LIFECORP | DE | OWNS 100% OF PACIFIC LIFE INSURANCE COMPANY | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | OWNS 98% OF PACIFIC LIFE CORP | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, L.P. | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, L.P. | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, L.P. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
Registrations
Federal
IA
Apr 4, 2007 REGISTERED
Notice Filings (44)
AL AR AZ CA CO CT DE FL GA HI IA ID IL IN KS KY MA MD ME MI MN MO MS NC NE NH NJ NM NV NY OH OK PA RI SC SD TN TX UT VA VT WA WI WV
Address
500 PARK BLVD.SUITE 800
ITASCA, IL 60143
USA
Phone: 630-250-7000