FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC
Legal name: FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT
CRD #106607 SEC #801-37185 DALLAS, TX 972-934-9070
SEC Registered Disclosures
Total AUM
$405M
Discretionary
$403.6M
Employees
9
Clients
1
Accounts
747
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Texas
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Sep 27, 2019
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BONNEMA, STEPHEN, JOSEPH | I | DIRECTOR | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | EXECUTIVE VICE PRESIDENT/DIRECTOR/CCO/SHAREHOLDER | NA | |
| BOOBAR, KATHY, STAPLES | I | PRESIDENT | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/PRESIDENT/DIRECTOR | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | PRESIDENT | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | CHAIRMAN OF THE BOARD/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| BOOBAR, KATHY, STAPLES | I | PRESIDENT | NA | Control |
| BOOBAR, KATHY, STAPLES | I | PRESIDENT | NA | Control |
| BOOBAR, KATHY, STAPLES | I | PRESIDENT | NA | Control |
| CRANE, JOSEPH, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CRANE, JOSEPH, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CRANE, JOSEPH, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| DUONG, PHI, QUY | I | CCO | NA | |
| GAVETT, MICHAEL, JOHN | I | CHIEF OPERATING OFFICER/ PORTFOLIO MANAGER | NA | Control |
| GAVETT, MICHAEL, JOHN | I | CHIEF OPERATING OFFICER/ PORTFOLIO MANAGER | NA | Control |
| GAVETT, MICHAEL, JOHN | I | CHIEF OPERATING OFFICER/ PORTFOLIO MANAGER | NA | Control |
| GAVETT, MICHAEL, JOHN | I | CHIEF OPERATING OFFICER/ PORTFOLIO MANAGER | NA | Control |
| HUGHES, NOLAN, BLAKE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUGHES, NOLAN, BLAKE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| PARRISH, JAMES, ANTHONY | I | DIRECTOR | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | CONTROLLER/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | CONTROLLER/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | CONTROLLER/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO/DIRECTOR/SHAREHOLDER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | TREASURER & COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | TREASURER & COO | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| RISNER, CLARISSA, LEIGH | I | PRESIDENT, COO & CONTROLLER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/PRESIDENT/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/PRESIDENT/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WELCH, PAUL, HESSE | I | DIRECTOR/CIO | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | PRESIDENT/CFO/COO/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | DIRECTOR | NA | |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | CEO/PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | DIRECTOR/SHAREHOLDER | NA | Control |
| WILSON, SONDRA, JUNE | I | DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| WRIGHT, RICHARD, ALAN | I | VICE PRESIDENT/DIRECTOR/SHAREHOLDER | NA | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER/TRUSTEE FOR FFSS ESOP & BYPASS TRUSTS | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | SHAREHOLDER | E | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CEO/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| WELCH, PAUL, HESSE | I | CHAIRMAN OF THE INVESTMENT STRATEGY COMMITTEE/DIRECTOR/SHAREHOLDER | D | Control |
| WELCH, PAUL, HESSE | I | TRUSTEE FOR FFSS ESOP | D | Control |
| FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | Control |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | C | |
| BYPASS TRUST UTA WELCH FAMILY TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | B | |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| MCCOY, DONALD, WAYNE | I | SR VICE PRESIDENT/DIRECTOR/SHAREHOLDER | B | Control |
| FIDUCIARY FINANCIAL SERVIES OF THE SOUTHWEST EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | TRUST | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ACP INVESTMENT FUND MANAGMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY, INC | F | Control |
| ACP INVESTMENT FUND MANAGMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY, INC | F | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS, LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP INVESTMENT FUND II-A, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | D | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT CONMPANY, INC | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| ACP INVESTMENT FUND II, LP | DE | ACP BD INVESTMENTS HOLDINGS, LP | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL US HOLDING, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| COIL US HOLDING, INC | DE | WUNDERLICH INVESTMENT COMPANY, INC | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
Registrations
Federal
IA
Sep 27, 2019 REGISTERED
Notice Filings (27)
AR AZ CA CO CT FL GA HI IL LA MA MD MO MT NJ NM NV NY OK OR PA SC TN TX UT VA WA
Address
13155 NOEL ROADSUITE 750
DALLAS, TX 75240-5040
United States
Phone: 972-934-9070