LEIST ALAN R PLANNING GROUP INC
CRD #105909 SEC #801-21192 UTICA, NY 315-735-7553
SEC Registered
Total AUM
$276.4M
Discretionary
$28.9M
Employees
10
Clients
251
Accounts
2,630
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 26, 2007
- 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 |
|---|---|---|---|---|
| KOWALCZYK, BRADLEY, M. | DE | PRESIDENT/SECRETARY | NA | Control |
| KOWALCZYK, BRADLEY, M. | DE | PRESIDENT | NA | Control |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT/SECRETARY | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT/SECRETARY | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT/SECRETARY | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | PRESIDENT/SECRETARY | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND PRESIDENT | NA | |
| KOWALCZYK, BRADLEY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND PRESIDENT | NA | |
| LEIST, ALAN, REMY | I | PRINCIPAL | NA | Control |
| LEIST, ALAN, REMY | I | PRINCIPAL | NA | Control |
| LEIST, ALAN, REMY | I | PRINCIPAL | NA | Control |
| LEIST, ALAN, REMY | I | PRINCIPAL | NA | Control |
| MARTIN, CATHERINE R. | DE | COMPLIANCE OFFICER | NA | |
| MARTIN, CATHERINE R. | DE | COMPLIANCE OFFICER | NA | |
| MARTIN, CATHERINE, ROBERTS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MARTIN, CATHERINE, ROBERTS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MARTIN, CATHERINE, ROBERTS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MARTIN, CATHERINE, ROBERTS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCCARTNEY, SCOTT, CLYDE | I | CIO | NA | Control |
| MCCARTNEY, SCOTT, CLYDE | I | CIO | NA | Control |
| MOSHIER, MARTIN, E. | I | PRINCIPAL | NA | Control |
| MOSHIER, MARTIN, E. | I | PRINCIPAL | NA | Control |
| MOSHIER, MARTIN, E. | I | PRINCIPAL | NA | Control |
| MOSHIER, MARTIN, E. | I | PRINCIPAL | NA | Control |
| WILLIAMS, KASEY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILLIAMS, KASEY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | D | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | D | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | D | Control |
| LEIST, ALAN, REMY | I | CHIEF EXECUTIVE OFFICER | D | Control |
| SWEET, JUDITH VICKS | I | CHIEF COMPLIANCE OFFICER | C | Control |
| SWEET, JUDITH VICKS | I | CHIEF COMPLIANCE OFFICER | C | Control |
| SWEET, JUDITH VICKS | I | CFO | C | Control |
| SWEET, JUDITH VICKS | I | CFO | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KOWALCZYK, BRADLEY, M. | DE | ALAN R. LEIST PLANNING GROUP, INC. | F | Control |
| KOWALCZYK, BRADLEY, M. | DE | ALAN R. LEIST PLANNING GROUP, INC. | F | Control |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| KOWALCZYK, BRADLEY, MICHAEL | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE R. | DE | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE R. | DE | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE, ROBERTS | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE, ROBERTS | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE, ROBERTS | I | ALAN R. LEIST PLANNING GROUP, INC. | F | |
| MARTIN, CATHERINE, ROBERTS | I | ALAN R. LEIST PLANNING GROUP, INC. | F |
Registrations
Federal
IA
Jan 26, 2007 REGISTERED
Notice Filings (9)
CA FL MA ME NC NY SC TX VA
Address
114 BUSINESS PARK DRIVEUTICA, NY 13502
USA
Phone: 315-735-7553