MARKETSPACE FINANCIAL INC
Legal name: MARKETSPACE FINANCIAL
CRD #106790 SEC #801-50721 ALBUQUERQUE, NM 505-883-3131
SEC Registered Broker-Dealer
Total AUM
$142.9M
Discretionary
$120.5M
Employees
5
Clients
0
Accounts
602
Firm Details
- Organization Type
- Corporation
- State of Formation
- New Mexico
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 1, 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 |
|---|---|---|---|---|
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| SHELTON, JOHN, RANSFORD | I | PRINCIPAL | NA | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRESIDENT | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRINCIPAL | D | Control |
| FOLLINGSTAD, RICHARD, HARVEY | I | PRESIDENT | D | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | EXECUTIVE VICE PRESIDENT | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | C | Control |
| OESTREICHER, JOHN, JOSEPH | I | EXECUTIVE VICE PRESIDENT | C | Control |
| RAFF, GILBERT | I | VICE PRESIDENT | A | Control |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A | |
| YU, DANIEL, ANDREW | I | PORTFOLIO MANAGER/DIR RESEARCH | A |
Registrations
Federal
IA
Feb 1, 2007 REGISTERED
Notice Filings (6)
AZ CA CO MT NM TX
Address
6565 AMERICAS PARKWAY NESUITE 611
ALBUQUERQUE, NM 87110
USA
Phone: 505-883-3131