CARIS & COMPANY, INC.
CRD #104235 SEC #801-63250 SAN DIEGO, CA 858-704-0300
SEC Registered Broker-Dealer
Total AUM
$0
Discretionary
$0
Employees
5
Clients
0
Accounts
0
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 30, 2004
- 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 |
|---|---|---|---|---|
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| CARIS, DARREN J | I | PRESIDENT | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| WACHTEL, SHANE RYAN | I | CHIEF COMPLIANCE OFFICER/FINOP | NA | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
| DARREN J. CARIS TRUST | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
| CARIS, DARREN J | I | DARREN J. CARIS TRUST | E | Control |
Registrations
Federal
IA
Aug 30, 2004 REGISTERED
Notice Filings (2)
CA NY
Address
12526 HIGH BLUFF DRIVESUITE 290
SAN DIEGO, CA 92130
USA
Phone: 858-704-0300