PRUDENTIAL BACHE ASSET MANAGEMENT, INC.
CRD #105658 SEC #801-21811 NEW YORK, NY 800-643-2902
SEC Registered
Total AUM
$327.4M
Discretionary
$327.4M
Employees
--
Clients
--
Accounts
3
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 15, 2010
- 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 |
|---|---|---|---|---|
| ALLAN, RUPERT, ANDREW | I | PRESIDENT | NA | Control |
| ALLAN, RUPERT, ANDREW | I | PRESIDENT | NA | Control |
| AUGSBURGER, LEE, D | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| AUGSBURGER, LEE, D | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| AUGSBURGER, LEE, D | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| AUGSBURGER, LEE, D | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| AUGSBURGER, LEE, DUANE | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| AUGSBURGER, LEE, DUANE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| AUGSBURGER, LEE, DUANE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF COMPLIANCE OFFICER) | NA | Control |
| BAKER FIALCOWITZ, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER FIALCOWITZ, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER FIALCOWITZ, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER FIALCOWITZ, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BAKER, MAUREEN, FRANCES | I | SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| BYRNE, RYAN, K | I | DIRECTOR | NA | Control |
| CHAPLIN, C, EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C, EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C, EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C, EDWARD | I | TREASURER | NA | Control |
| CORDREY, PETER, DAVID | I | VICE PRESIDENT | NA | Control |
| CORDREY, PETER, DAVID | I | VICE PRESIDENT | NA | Control |
| CORDREY, PETER, DAVID | I | VICE PRESIDENT | NA | Control |
| CORDREY, PETER, DAVID | I | VICE PRESIDENT | NA | Control |
| HAYWARD, SCOTT, LOUIS | I | DIRECTOR | NA | Control |
| HAYWARD, SCOTT, LOUIS | I | DIRECTOR | NA | Control |
| ILNITZKI, STEPHEN, PETER | I | SENIOR VICE PRESIDENT AND DIRECTOR (FUNCTIONS AS CHIEF INVESTMENT OFFICER) | NA | Control |
| IRMIERE-MARCHITTO, AMY, FRANCES | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| IRMIERE-MARCHITTO, AMY, FRANCES | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| IRMIERE-MARCHITTO, AMY, FRANCES | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| IRMIERE-MARCHITTO, AMY, FRANCES | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| IRMIERE-MARCHITTO, AMY, FRANCES | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| IVANS, RONALD, JOSEPH | I | PORTFOLIO MANAGER | NA | Control |
| IVANS, RONALD, JOSEPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| IVANS, RONALD, JOSEPH | I | PORTFOLIO MANAGER | NA | Control |
| IVANS, RONALD, JOSEPH | I | PORTFOLIO MANAGER | NA | Control |
| IVANS, RONALD, JOSEPH | I | PORTFOLIO MANAGER AND DIRECTOR | NA | Control |
| IVANS, RONALD, JOSEPH | I | PORTFOLIO MANAGER AND DIRECTOR | NA | Control |
| KENNEDY, KEVIN, GERARD | I | DIRECTOR | NA | Control |
| KENNEDY, KEVIN, GERARD | I | VICE PRESIDENT (FUNCTIONS AS CHIEF TECHNOLOGY OFFICER) | NA | Control |
| KENNEDY, KEVIN, GERARD | I | DIRECTOR | NA | Control |
| KENNEDY, KEVIN, GERARD | I | DIRECTOR | NA | Control |
| KENNEDY, KEVIN, GERARD | I | PRESIDENT AND DIRECTOR | NA | Control |
| KENNEDY, KEVIN, GERARD | I | PRESIDENT AND DIRECTOR | NA | Control |
| LADOUCEUR, ALEXANDER, HENRY | I | DIRECTOR | NA | Control |
| LADOUCEUR, ALEXANDER, HENRY | I | DIRECTOR | NA | Control |
| LADOUCEUR, ALEXANDER, HENRY | I | DIRECTOR | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LEVINE, DONALD, RICHARD | I | VICE PRESIDENT AND SECRETARY (FUNCTIONS AS CHIEF LEGAL OFFICER) | NA | Control |
| LOWENSTEIN, PAUL | I | PRESIDENT & DIRECTOR | NA | Control |
| LOWENSTEIN, PAUL | I | PRESIDENT & DIRECTOR | NA | Control |
| LOWENSTEIN, PAUL | I | PRESIDENT & DIRECTOR | NA | Control |
| LOWENSTEIN, PAUL | I | PRESIDENT & DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| MYERS, KEVIN, ANDREW | I | DIRECTOR | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| ODONNELL, MICHAEL, ROBERT | I | VICE PRESIDENT AND CHIEF RISK OFFICER | NA | Control |
| SAPERSTEIN, STEVEN, BRUCE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF FINANCIAL OFFICER) | NA | Control |
| SAPERSTEIN, STEVEN, BRUCE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF FINANCIAL OFFICER) | NA | Control |
| SAPERSTEIN, STEVEN, BRUCE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF FINANCIAL OFFICER) | NA | Control |
| SAPERSTEIN, STEVEN, BRUCE | I | VICE PRESIDENT (FUNCTIONS AS CHIEF FINANCIAL OFFICER) | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SCOTT, JAMES, HUNTER | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| SHEEHY, MICHAEL, SANDERS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SQUILLACE, JOHN | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| STUMPP, MARGARET, STEPHANIE | I | VICE PRESIDENT | NA | Control |
| STUMPP, MARGARET, STEPHANIE | I | VICE PRESIDENT | NA | Control |
| SULLIVAN, JAMES, JOSEPH | I | PRESIDENT & DIRECTOR | NA | Control |
| SULLIVAN, JAMES, JOSEPH | I | PRESIDENT & DIRECTOR | NA | Control |
| SULLIVAN, JAMES, JOSEPH | I | PRESIDENT & DIRECTOR | NA | Control |
| SULLIVAN, JAMES, JOSEPH | I | PRESIDENT & DIRECTOR | NA | Control |
| SULLIVAN, JAMES, JOSEPH | I | SENIOR VICE PRESIDENT | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| YIP, WILLIAM, C | I | VICE PRESIDENT AND FINANCIAL OFFICER | NA | Control |
| JEFFERIES BACHE HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PFDS HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PFDS HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PFDS HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PFDS HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PFDS HOLDINGS, LLC | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
| PRUDENTIAL INVESTMENT MANAGEMENT, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| JEFFERIES GROUP, INC. | DE | JEFFERIES BACHE HOLDINGS, LLC | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY, LLC | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY, LLC | DE | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL HOLDINGS, LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL HOLDINGS, LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL HOLDINGS, LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL HOLDINGS, LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL HOLDINGS, LLC | E | Control |
| PRUDENTIAL HOLDINGS, LLC | DE | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | E | Control |
| PRUDENTIAL HOLDINGS, LLC | DE | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | E | Control |
| PRUDENTIAL HOLDINGS, LLC | DE | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | E | Control |
| PRUDENTIAL HOLDINGS, LLC | DE | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | E | Control |
| PRUDENTIAL HOLDINGS, LLC | DE | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | E | Control |
| PRUDENTIAL SECURITIES GROUP LLC | DE | PFDS HOLDINGS, LLC | E | Control |
| PRUDENTIAL SECURITIES GROUP LLC | DE | PFDS HOLDINGS, LLC | E | Control |
| PRUDENTIAL SECURITIES GROUP LLC | DE | PFDS HOLDINGS, LLC | E | Control |
| PRUDENTIAL SECURITIES GROUP LLC | DE | PFDS HOLDINGS, LLC | E | Control |
| PRUDENTIAL SECURITIES GROUP LLC | DE | PFDS HOLDINGS, LLC | E | Control |
| PSG HOLDINGS, LLC | DE | PRUDENTIAL SECURITIES GROUP LLC | E | Control |
| PSG HOLDINGS, LLC | DE | PRUDENTIAL SECURITIES GROUP LLC | E | Control |
| PSG HOLDINGS, LLC | DE | PRUDENTIAL SECURITIES GROUP LLC | E | Control |
| PSG HOLDINGS, LLC | DE | PRUDENTIAL SECURITIES GROUP LLC | E | Control |
| PSG HOLDINGS, LLC | DE | PRUDENTIAL SECURITIES GROUP LLC | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PSG HOLDINGS, LLC | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PSG HOLDINGS, LLC | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PSG HOLDINGS, LLC | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PSG HOLDINGS, LLC | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUDENTIAL ASSET MANAGEMENT HOLDING COMPANY | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PSG HOLDINGS, LLC | E | Control |
Registrations
Federal
IA
Jan 15, 2010 REGISTERED
Notice Filings (47)
AK AL AR AZ CA CO CT DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
ONE NEW YORK PLAZA13TH FLOOR
NEW YORK, NY 10292
United States
Phone: 800-643-2902