HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.

CRD #105560 SEC #801-28435 SCHAUMBURG, IL 888-528-2987

SEC Registered

Total AUM

$117.3M

Discretionary

Employees

Clients

Accounts

181

Firm Details

Organization Type: Corporation
State of Formation: --
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Oct 21, 2005
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
BAKER, GLENN, ALLEN	I	PRESIDENT & DIRECTOR	NA	Control
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
BUDDLE, JAMES, JOSEPH	I	DIRECTOR	NA
CRAWFORD, THOMAS, WAYNE	I	DIRECTOR	NA	Control
CRAWFORD, THOMAS, WAYNE	I	DIRECTOR	NA	Control
CRAWFORD, THOMAS, WAYNE	I	DIRECTOR	NA	Control
FRAWLEY, KEVIN, BARRY	I	DIRECTOR	NA	Control
FRAWLEY, KEVIN, BARRY	I	DIRECTOR	NA	Control
FRAWLEY, KEVIN, BARRY	I	DIRECTOR	NA	Control
GREENE, JOHN, WARREN	I	DIRECTOR	NA	Control
HOCHMAN, JOEL, LEONARD	I	VICE PRESIDENT & DIRECTOR	NA	Control
KIRK, BRYANT, WILLIS	I	DIRECTOR	NA	Control
KIRK, BRYANT, WILLIS	I	DIRECTOR	NA	Control
KITE, HOWARD, SHANE	I	SVP	NA
KITE, HOWARD, SHANE	I	SVP	NA
KITE, HOWARD, SHANE	I	SVP	NA
KITE, HOWARD, SHANE	I	SENIOR VICE PRESIDENT	NA	Control
KITE, HOWARD, SHANE	I	SENIOR VICE PRESIDENT	NA	Control
KITE, HOWARD, SHANE	I	SENIOR VICE PRESIDENT	NA	Control
KUNCL, JAMES, JOSEPH	I	CHIEF FINANCIAL OFFICER	NA
KUNCL, JAMES, JOSEPH	I	CHIEF FINANCIAL OFFICER	NA
KUNCL, JAMES, JOSEPH	I	CHIEF FINANCIAL OFFICER	NA
KUNCL, JAMES, JOSEPH	I	FINANCE OFFICER	NA
METHVEN, ROBERT, THOMAS	I	CHIEF EXECUTIVE OFFICER	NA	Control
METHVEN, ROBERT, THOMAS	I	CHIEF EXECUTIVE OFFICER	NA	Control
MINDEL, NORBERT, MAC	I	CHIEF OPERATIONS OFFICER - DIRECTOR	NA
MINDEL, NORBERT, MAC	I	CHIEF OPERATIONS OFFICER - DIRECTOR	NA
MINDEL, NORBERT, MAC	I	CHIEF OPERATIONS OFFICER - DIRECTOR	NA
MINDEL, NORBERT, MAC	I	EXECUTIVE VICE PRESIDENT - DIRECTOR	NA	Control
MINDEL, NORBERT, MAC	I	EXECUTIVE VICE PRESIDENT - DIRECTOR	NA	Control
MINDEL, NORBERT, MAC	I	EXECUTIVE VICE PRESIDENT - DIRECTOR	NA	Control
REEDY, DAVID, STEPHEN	I	PRESIDENT - DIRECTOR	NA	Control
REEDY, DAVID, STEPHEN	I	PRESIDENT - DIRECTOR	NA	Control
REEDY, DAVID, STEPHEN	I	PRESIDENT - DIRECTOR	NA	Control
REEDY, DAVID, STEPHEN	I	PRESIDENT - DIRECTOR	NA	Control
WILES, EDWARD, JOSEPH	I	SVP - CHIEF COMPLIANCE OFFICER	NA
WILES, EDWARD, JOSEPH	I	SVP - CHIEF COMPLIANCE OFFICER	NA
WILES, EDWARD, JOSEPH	I	SVP - CHIEF COMPLIANCE OFFICER	NA
WILES, EDWARD, JOSEPH	I	SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER	NA	Control
WILES, EDWARD, JOSEPH	I	SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER	NA	Control
WILES, EDWARD, JOSEPH	I	SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER	NA	Control
GENWORTH FINANCIAL INVESTMENT SERVICES, INC.	DE	SHAREHOLDER COMMON	E	Control
GENWORTH FINANCIAL INVESTMENT SERVICES, INC.	DE	SHAREHOLDER COMMON	E	Control
HOCHMAN & BAKER, INC.	DE	PARENT COMPANY	E	Control
HOCHMAN & BAKER, INC.	DE	PARENT COMPANY	E	Control
HOCHMAN & BAKER, INC.	DE	SHAREHOLDER COMMON	E	Control
HOCHMAN & BAKER, INC.	DE	SHAREHOLDER COMMON	E	Control
HOCHMAN & BAKER, INC.	DE	PARENT COMPANY	E	Control
BAKER, GLENN, ALLEN	I	PRESIDENT & DIRECTOR	A	Control
BAKER, GLENN, ALLEN	I	PRESIDENT & DIRECTOR	A	Control
HOCHMAN, JOEL, LEONARD	I	VICE PRESIDENT & DIRECTOR	A	Control
HOCHMAN, JOEL, LEONARD	I	VICE PRESIDENT & DIRECTOR	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
GE CAPITAL CORPORATION	DE	GE INSURANCE	E	Control
GE CAPITAL CORPORATION	DE	GE INSURANCE	E	Control
GE CAPITAL SERVICES, INC.	DE	GE CAPITAL CORPORATION	E	Control
GE CAPITAL SERVICES, INC.	DE	GE CAPITAL CORPORATION	E	Control
GE INSURANCE	DE	GE FINANCIAL ASSURANCE, INC.	E	Control
GE INSURANCE	DE	GE FINANCIAL ASSURANCE, INC.	E	Control
GE INSURANCE, INC.	DE	GE FINANCIAL ASSURANCE, INC.	E	Control
GENERAL ELECTRIC CAPITAL CORPORATION	DE	GE INSURANCE, INC.	E	Control
GENERAL ELECTRIC CAPITAL SERVICES, INC.	DE	GENERAL ELECTRIC CAPITAL CORPORATION	E	Control
GENERAL ELECTRIC COMPANY	DE	GENERAL ELECTRIC CAPITAL SERVICES, INC.	E	Control
GENERAL ELECTRIC COMPANY	DE	GE CAPITAL SERVICES, INC.	E	Control
GENERAL ELECTRIC COMPANY	DE	GE CAPITAL SERVICES, INC.	E	Control
GENWORTH FINANCIAL, INC.	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC.	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC.	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC.	DE	GNA CORPORATION	E	Control
GNA CORPORATION	DE	HOCHMAN & BAKER, INC.	E	Control
GNA CORPORATION	DE	HOCHMAN & BAKER, INC.	E	Control
GNA CORPORATION	DE	HOCHMAN & BAKER, INC.	E	Control
GNA CORPORATION	DE	GENWORTH FINANCIAL INVESTMENT SERVICES, INC.	E	Control
GNA CORPORATION	DE	GENWORTH FINANCIAL INVESTMENT SERVICES, INC.	E	Control
GNA CORPORATION	DE	HOCHMAN & BAKER, INC.	E	Control
HOCHMAN & BAKER, INC.	DE	HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.	E	Control
PRUDENTIAL FINANCIAL, INC.	DE	PRUDENTIAL HOLDINGS, LLC	E	Control
PRUDENTIAL HOLDINGS, LLC	DE	THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	E	Control
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	DE	HOCHMAN & BAKER, INC.	E	Control
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	DE	HOCHMAN & BAKER, INC.	E	Control
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	DE	HOCHMAN & BAKER, INC.	E	Control
GE FINANCIAL ASSURANCE HOLDINGS, INC.	DE	GENWORTH FINANCIAL	D	Control
GE FINANCIAL ASSURANCE HOLDINGS, INC.	DE	GNA CORPORATION	C	Control
GE FINANCIAL ASSURANCE HOLDINGS, INC.	DE	GNA CORPORATION	C	Control

Registrations

Federal

Oct 21, 2005 REGISTERED

Notice Filings (28)

AL CA CT DC DE FL GA IL IN KY MA MD ME MI MN MO NC NH NJ NV NY OH PA RI SC TX VA WI

Address

200 NORTH MARTINGALE ROAD
7TH FLOOR
SCHAUMBURG, IL 60173
USA

Phone: 888-528-2987