SAFDIE INVESTMENT SERVICES CORP.
CRD #104199 SEC #801-60270 NEW YORK, NY 212-457-8600
SEC Registered Broker-Dealer
Total AUM
$112M
Discretionary
$23.5M
Employees
--
Clients
--
Accounts
86
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- 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 |
|---|---|---|---|---|
| BIEDERMANN, CHARLES | I | CHAIRMAN OF THE BOARD | NA | |
| BIEDERMANN, CHARLES | I | CHAIRMAN OF THE BOARD | NA | |
| BIEDERMANN, CHARLES | I | CHAIRMAN OF THE BOARD | NA | |
| BIEDERMANN, CHARLES | I | CHAIRMAN OF THE BOARD | NA | |
| CAPPETO, PATRICIA ANN | I | FIRST VICE PRESIDENT, DIRECTOR OF COMPLIANCE AND LEGAL COUNSEL | NA | Control |
| CAPPETO, PATRICIA ANN | I | FIRST VICE PRESIDENT, DIRECTOR OF COMPLIANCE AND LEGAL COUNSEL | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF OPERATING OFFICER | NA | Control |
| CAPPETO, PATRICIA ANN | I | FIRST VICE PRESIDENT, DIRECTOR OF COMPLIANCE AND LEGAL COUNSEL | NA | Control |
| CAPPETO, PATRICIA ANN | I | PRESIDENT AND DIRECTOR OF COMPLIANCE AND LEGAL COUNSEL | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF OPERATING OFFICER | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF OPERATING OFFICER | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF OPERATING OFFICER | NA | Control |
| CAPPETO, PATRICIA ANN | I | CHIEF OPERATING OFFICER | NA | Control |
| DAVID J. MINDER | I | DIRECTOR | NA | |
| DAVID J. MINDER | I | DIRECTOR | NA | |
| DAVID J. MINDER | I | DIRECTOR | NA | |
| DAVID J. MINDER | I | DIRECTOR | NA | |
| DAVID J. MINDER | I | DIRECTOR | NA | |
| DRAGON, FRANCOIS | I | DIRECTOR | NA | |
| DRAGON, FRANCOIS | I | DIRECTOR | NA | |
| DRAGON, FRANCOIS | I | DIRECTOR | NA | |
| DUSS, SUSANNE | I | CHAIRMAN OF BOARD OF DIRECTORS | NA | Control |
| DUSS, SUSANNE | I | CHAIRMAN OF BOARD OF DIRECTORS | NA | Control |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | Control |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | Control |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | |
| ESRUBILSKY, GUIORA | I | DIRECTOR | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP/ VICE PRESIDENT/ EXECUTIVE COMMITTEE MEMBER | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP/ VICE PRESIDENT/ EXECUTIVE COMMITTEE MEMBER | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP/ VICE PRESIDENT | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP/ VICE PRESIDENT | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP/ VICE PRESIDENT | NA | |
| GILMAN, DAVID ANTHONY | I | SROP, CROP | NA | |
| GILMAN, DAVID ANTHONY | I | FINOP | NA | |
| GILMAN, DAVID ANTHONY | I | SROP, CROP, FINOP | NA | |
| GILMAN, DAVID ANTHONY | I | SROP, CROP, FINOP | NA | |
| GILMAN, DAVID ANTHONY | I | SROP, CROP, FINOP | NA | |
| HAGEN, JOHN ALFRED | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | Control |
| HAUSER, MARC | I | DIRECTOR | NA | Control |
| HAUSER, MARC | I | DIRECTOR | NA | Control |
| HAUSER, MARC | I | DIRECTOR | NA | Control |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAUSER, MARC | I | DIRECTOR | NA | |
| HAWKINS, CHRISTINA YEWSHENKO | I | SROP, CROP | NA | |
| LE BER, CLAUDE | I | DIRECTOR | NA | |
| LE BER, CLAUDE | I | DIRECTOR | NA | |
| LE BER, CLAUDE | I | DIRECTOR | NA | |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LINTON, DONALD JAMES | I | FIRST VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL AND TREASURER | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT/ CHAIRMAN OF EXECUTIVE COMMITTEE | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT/ CHAIRMAN OF EXECUTIVE COMMITTEE | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT | NA | Control |
| LIVIAN, MICHAEL MOSHE | I | DIRECTOR OF ASSET MANAGEMENT | NA | |
| LUFT, SAM MR. | I | CHIEF EXECUTIVE OFFICER | NA | |
| LUFT, SAM MR. | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| PAULUCCI, JOSE APARECIDO | I | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| PAULUCCI, JOSE APARECIDO | I | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| PAULUCCI, JOSE APARECIDO | I | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN | NA | |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN OF THE BOARD | NA | Control |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | Control |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | Control |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SAFDIE, MAURICIO | I | DIRECTOR | NA | |
| SCHNEIDER, KEITH PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHNEIDER, KEITH PETER | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHNEIDER, KEITH PETER | I | DIRECTOR | NA | Control |
| SCHNEIDER, KEITH PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHNEIDER, KEITH PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHNEIDER, KEITH PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHUTT, CARL MICHAEL | I | FIRST VICE PRESIDENT AND DIRECTOR OF OPERATIONS | NA | Control |
| SCHUTT, CARL MICHAEL | I | FIRST VICE PRESIDENT AND DIRECTOR OF OPERATIONS | NA | Control |
| SCHUTT, CARL MICHAEL | I | FIRST VICE PRESIDENT AND DIRECTOR OF OPERATIONS | NA | Control |
| SCHUTT, CARL MICHAEL | I | FIRST VICE PRESIDENT AND DIRECTOR OF OPERATIONS | NA | Control |
| SHIM, KATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHIM, KATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHIM, KATHERINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| UCHENIK, VLAD | I | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | CHIEF COMPLIANCE OFFICER /DIRECTOR OF TRADING/ROSFP/EXECUTIVE COMMITTEE MEMBER | NA | Control |
| VORCHHEIMER, JULIUS J | I | CHIEF COMPLIANCE OFFICER /DIRECTOR OF TRADING/ROSFP/EXECUTIVE COMMITTEE MEMBER | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT/DIRECTOR OF TRADING/ROSFP | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT/DIRECTOR OF TRADING/ROSFP | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT/DIRECTOR OF TRADING/ROSFP | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| VORCHHEIMER, JULIUS J | I | 1ST VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| WOTCZAK, ROBERT LAWRENCE | I | 1ST VICE PRESIDENT, DIRECTOR OF SALES AND MARKETING | NA | Control |
| WOTCZAK, ROBERT LAWRENCE | I | 1ST VICE PRESIDENT, DIRECTOR OF SALES AND MARKETING | NA | Control |
| WOTCZAK, ROBERT LAWRENCE | I | 1ST VICE PRESIDENT, DIRECTOR OF SALES AND MARKETING | NA | Control |
| WOTCZAK, ROBERT LAWRENCE | I | 1ST VICE PRESIDENT, DIRECTOR OF SALES AND MARKETING | NA | Control |
| COMMERCIAL BANK OF NEW YORK | DE | 100% SHAREHOLDER | E | Control |
| COMMERCIAL BANK OF NEW YORK | DE | 100% SHAREHOLDER | E | Control |
| COMMERCIAL BANK OF NEW YORK | DE | 100% SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| MULTI FINANCE, S.A. | FE | MAJORITY SHAREHOLDER | E | Control |
| SAFDIE, GABRIEL ROLANDO | I | MAJORITY SHAREHOLDER | E | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN OF THE BOARD | D | Control |
| SAFDIE, GABRIEL ROLANDO | I | CHAIRMAN OF THE BOARD | D | Control |
| SAFDIE, GABRIEL ROLANDO | I | MAJORITY SHAREHOLDER | D | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| BANQUE SAFDIE | FE | MULTIFINANCE S.A. | E | |
| SAFDIE, GABRIEL R. | I | COMMERCIAL BANK OF NEW YORK | D | Control |
| SAFDIE, GABRIEL R. | I | COMMERCIAL BANK OF NEW YORK | D | Control |
| SAFDIE, GABRIEL R. | I | COMMERCIAL BANK OF NEW YORK | D | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (4)
CT FL NJ NY
Address
360 MADISON AVENUE,19TH FLOORNEW YORK, NY 10017
United States
Phone: 212-457-8600