CHESS FINANCIAL CORP
CRD #106225 SEC #801-30569 BEACHWOOD, OH 216-831-2400
SEC Registered
Total AUM
$455.4M
Discretionary
$0
Employees
11
Clients
101
Accounts
645
Firm Details
- Organization Type
- Corporation
- State of Formation
- Ohio
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 7, 2011
- 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 |
|---|---|---|---|---|
| ALTHANS, GREGORY, PAUL | I | SENIOR MANAGING DIRECTOR | NA | Control |
| AUSTIN, DANIEL, FRASER | I | DIRECTOR | NA | |
| AUSTIN, DANIEL, FRASER | I | DIRECTOR | NA | |
| AUSTIN, DANIEL, FRASER | I | OUTSIDE DIRECTOR | NA | |
| AUSTIN, DANIEL, FRASER | I | OUTSIDE DIRECTOR | NA | |
| AUSTIN, DANIEL, FRASER | I | DIRECTOR | NA | |
| AUSTIN, DANIEL, FRASER | I | DIRECTOR | NA | |
| BARTLETT, JAMES, THEODORE | I | CHAIRMAN OF THE BOARD | NA | Control |
| FULTON, DAVID, CAMPBELL | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| FURMICK, ANGELA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FURMICK, ANGELA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FURMICK, ANGELA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FURMICK, ANGELA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FURMICK, ANGELA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FURMICK, ANGELA, MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HARTLAND, THOMAS, JAMES | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MILLER, DAVID, PAUL | I | DIRECTOR | NA | |
| MILLER, DAVID, PAUL | I | DIRECTOR | NA | |
| PRUCE, JAMES | I | DIRECTOR | NA | |
| STERRETT, CHRISTINE, CASIMIRA | I | CHIEF ADMINISTRATION OFFICER | NA | Control |
| TIPPIT, CARL, JUSTIN | I | SENIOR MANAGING DIRECTOR | NA | Control |
| TURNER, BRADLEY, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TURNER, BRADLEY, EARL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| TURNER, BRADLEY, EARL | I | PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| TURNER, BRADLEY, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TURNER, BRADLEY, EARL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TURNER, BRADLEY, EARL | I | SENIOR MANAGING DIRECTOR, INVESTMENTS/DIRECTOR OF RESEARCH | NA | Control |
| WALTER, F., CARL | I | VICE -CHAIRMAN OF THE BOARD | NA | Control |
| WOLKEN, STEVEN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOLKEN, STEVEN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOLKEN, STEVEN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARTLAND & CO | DE | ENTITY | E | Control |
| WALTER, F., CARL | I | PRESIDENT | D | Control |
| WALTER, F., CARL | I | PRESIDENT | D | Control |
| WALTER, F., CARL | I | PRESIDENT | D | Control |
| WALTER, F., CARL | I | PRESIDENT | D | Control |
| WALTER, F., CARL | I | PRESIDENT | C | Control |
| WALTER, F., CARL | I | PRESIDENT | C | Control |
| WALTER, F., CARL | I | PRESIDENT | C | Control |
| WALTER, F., CARL | I | CHAIRMAN | C | Control |
| WALTER, F., CARL | I | PRESIDENT | C | Control |
| WALTER, F., CARL | I | PRESIDENT | C | Control |
| AUTH, ANGELA, MARIE | I | CHIEF COMPLIANCE OFFICER | B | Control |
| CROCKER, JOSEPH, K. | I | PRINCIPAL | B | |
| CROCKER, JOSEPH, K. | I | MANAGER | B | |
| CROCKER, JOSEPH, K. | I | MANAGING DIRECTOR | B | |
| CROCKER, JOSEPH, K. | I | MANAGING DIRECTOR | B | |
| CROCKER, JOSEPH, K. | I | PRINCIPAL | B | |
| CROCKER, JOSEPH, K. | I | PRINCIPAL | B | |
| HARDING, FRANK, I. | I | VICE PRESIDENT | B | |
| HARDING, FRANK, I. | I | VICE PRESIDENT | B | |
| HARDING, FRANK, I. | I | VICE PRESIDENT | B | |
| HARDING, FRANK, I. | I | VICE PRESIDENT | B | |
| MARINO, JOHN | I | PRINCIPAL | B | |
| MARINO, JOHN | I | MANAGER | B | |
| MARINO, JOHN | I | MANAGING DIRECTOR | B | |
| MARINO, JOHN | I | MANAGING DIRECTOR | B | |
| MARINO, JOHN | I | PRINCIPAL | B | |
| MARINO, JOHN | I | PRINCIPAL | B | |
| NOVAK, MICHAEL, T. | I | PRINCIPAL | B | |
| NOVAK, MICHAEL, T. | I | SENIOR MANAGER | B | |
| NOVAK, MICHAEL, T. | I | PRINCIPAL | B | |
| NOVAK, MICHAEL, T. | I | PRINCIPAL | B | |
| CROCKER, JOSEPH, K. | I | MANAGER | A | |
| CROCKER, JOSEPH, K. | I | MANAGER | A | |
| CROCKER, JOSEPH, K. | I | MANAGER | A | |
| CROCKER, JOSEPH, K. | I | MANAGER | A | |
| DEARDEN, MICHAEL, STEPHEN | I | MANAGING DIRECTOR | A | |
| DEARDEN, MICHAEL, STEPHEN | I | MANAGING DIRECTOR | A | |
| MARINO, JOHN | I | MANAGER | A | |
| MARINO, JOHN | I | MANAGER | A | |
| MARINO, JOHN | I | MANAGER | A | |
| MARINO, JOHN | I | MANAGER | A | |
| NOVAK, MICHAEL, T. | I | SENIOR MANAGER | A | |
| NOVAK, MICHAEL, T. | I | SENIOR MANAGER | A | |
| NOVAK, MICHAEL, T. | I | SENIOR MANAGER | A | |
| NOVAK, MICHAEL, T. | I | SENIOR MANAGER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HARTLAND, THOMAS, JAMES | I | HARTLAND & CO. | C | Control |
Registrations
Federal
IA
Nov 7, 2011 REGISTERED
Notice Filings (5)
CA FL OH PA TX
Address
25825 SCIENCE PARK DRIVESUITE 100
BEACHWOOD, OH 44122
United States
Phone: 216-831-2400