STEPHEN P. MOULTON & ASSOCIATES, LTD.
CRD #106955 SEC #801-47378 LEROY, NY 585-768-8760
SEC Registered
Total AUM
$35.9M
Discretionary
$34.6M
Employees
5
Clients
10
Accounts
105
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 9, 2005
- 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 |
|---|---|---|---|---|
| MOULTON, MARTINA, MARY | I | DIRECTOR, CORPORATE SECRETARY | NA | Control |
| MOULTON, MARTINA, MARY | I | DIRECTOR, AUTHORIZED TO ACT AS PRES, CEO, COO; AUTHORIZED TO VOTE STOCK | E | Control |
| MOULTON, MARTINA, MARY | I | DIRECTOR, AUTHORIZED TO ACT AS PRES, CEO, COO; AUTHORIZED TO VOTE STOCK | E | Control |
| MOULTON, MARTINA, MARY | I | DIRECTOR, AUTHORIZED TO ACT AS PRES, CEO, COO; AUTHORIZED TO VOTE STOCK | E | Control |
| MOULTON, STEPHEN, PAUL | I | PRESIDENT & CEO, 100% OWNER, PARTIALLY DISABLED | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MOULTON, STEPHEN, PAUL | I | PRESIDENT & CEO, 100% OWNER, PARTIALLY DISABLED | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHAIRMAN BD, PRESIDENT & CEO, OWNER | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHAIRMAN BD, PRESIDENT & CEO, 100% OWNER | E | Control |
| MOULTON, STEPHEN, PAUL | I | PRESIDENT & CEO, 100% OWNER, PARTIALLY DISABLED | E | Control |
| MOULTON, STEPHEN, PAUL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MOLLY FIEN, EXTRX, E/O ANTHONY BARRY FIEN | DE | 50% OWNER, NON-EMP., NON-OFFCR., TRANSFER OF STOCK RESTRICTED TO SHAREHOLDERS AGREEMENT DTD 09/24/94 | D | Control |
| MOLLY FIEN, EXTRX, E/O ANTHONY BARRY FIEN | DE | 50% OWNER, NON-EMP., NON-OFFCR., TRANSFER OF STOCK RESTRICTED TO SHAREHOLDERS AGREEMENT DTD 09/24/94 | D | Control |
| MOULTON, STEPHEN, PAUL | I | CHAIRMAN BD, PRESIDENT & CEO, 50% OWNER | D | Control |
| MOULTON, STEPHEN, PAUL | I | CHAIRMAN BD, PRESIDENT & CEO, 50% OWNER | D | Control |
Registrations
Federal
IA
Sep 9, 2005 REGISTERED
Notice Filings (1)
NY
Address
7133 WEST MAINLEROY, NY 14482
USA
Phone: 585-768-8760