ASSET STRATEGIES & MANAGEMENT INC
CRD #104723 SEC #801-30085 CAMPBELL, CA 408-364-9100
SEC Registered
Total AUM
$61.4M
Discretionary
$0
Employees
1
Clients
26
Accounts
310
Firm Details
- Organization Type
- Corporation
- State of Formation
- North Dakota
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 12, 2012
- 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 |
|---|---|---|---|---|
| WEDGWOOD, JOHN, WHITNEY | I | VP | NA | |
| WEDGWOOD, JOHN, WHITNEY | I | VP | NA | |
| WEDGWOOD, JOHN, WHITNEY | I | VP | NA | |
| WEDGWOOD, JOHN, WHITNEY | I | VP | NA | |
| WEDGWOOD, JOHN, WHITNEY | I | ASSOCIATE ADVISOR | NA | |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| HOLT, MICHAEL, GARY | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jul 12, 2012 REGISTERED
Notice Filings (1)
CA
Address
55 N THIRD ST, STE 201CAMPBELL, CA 95008
United States
Phone: 408-364-9100