RIA Intelligence

CHARLES STEPHEN AND COMPANY, INC.

CRD #106916 SEC #801-22681 ALBUQUERQUE, NM 505-884-0451
SEC Registered
Total AUM
$199.1M
Discretionary
$73.3M
Employees
6
Clients
101
Accounts
1,152

Firm Details

Organization Type
Corporation
State of Formation
New Mexico
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Apr 25, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
MURPHY, LORI, KAYICHIEF OPERATIONS OFFICERNA
MURPHY, LORI, KAYICHIEF OPERATIONS OFFICERNA
MURPHY, LORI, KAYICHIEF OPERATIONS OFFICERNA
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENTE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENTE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
CIEPIELA, STEPHEN, JOSEPHIVICE PRESIDENTD Control
CIEPIELA, STEPHEN, JOSEPHIVICE PRESIDENTD Control
CIEPIELA, STEPHEN, JOSEPHIVICE PRESIDENTD Control
CIEPIELA, STEPHEN, JOSEPHIVICE PRESIDENTD Control
SEVERINO, CHARLES, LOUISIPRESIDENTD Control
SEVERINO, CHARLES, LOUISIPRESIDENTD Control
SEVERINO, CHARLES, LOUISIPRESIDENTD Control
SEVERINO, CHARLES, LOUISIPRESIDENTD Control

Registrations

Federal

IA
Apr 25, 2012 REGISTERED

Notice Filings (1)

NM

Address

5951 JEFFERSON COURT NE
SUITE D
ALBUQUERQUE, NM 87109
United States
Phone: 505-884-0451