CATAWBA CAPITAL MANAGEMENT INC
CRD #107133 SEC #801-41334 ROANOKE, VA 540-342-1212
SEC Registered
Total AUM
$1.1B
Discretionary
$1.1B
Employees
10
Clients
--
Accounts
688
Firm Details
- Organization Type
- Corporation
- State of Formation
- Virginia
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 14, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| COOK, MALCOLM, WILLIAM | I | DIRECTOR | NA | |
| COOK, MALCOLM, WILLIAM | I | DIRECTOR | NA | |
| COOK, MALCOLM, WILLIAM | I | DIRECTOR | NA | |
| COOK, MALCOLM, WILLIAM | I | DIRECTOR | NA | |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| GRAY, JOHN, EDWARD | I | SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER | NA | Control |
| PERINE, MICHAEL, JOHN | I | DIRECTOR | NA | Control |
| PERINE, MICHAEL, JOHN | I | DIRECTOR | NA | Control |
| PERINE, MICHAEL, JOHN | I | DIRECTOR | NA | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | D | Control |
| CROWGEY, TERENCE, H | I | SENIOR VICE PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | VICE PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| CROWGEY, TERENCE, H | I | PRESIDENT | C | Control |
| DAWYOT, PETER, F | I | PRESIDENT | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | PRESIDENT | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| DAWYOT, PETER, F | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN III, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HOFFMAN, HUBERT, NELSON | I | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| HUBERT N. HOFFMAN JR. FAMILY TRUST | DE | SHAREHOLDER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | VICE PRESIDENT | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
| IRONS, RAYMOND, JAY | I | SENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOFFMAN III, HUBERT, NELSON | I | HUBERT N. HOFFMAN JR. FAMILY TRUST | F | Control |
| HOFFMAN III, HUBERT, NELSON | I | HUBERT N. HOFFMAN JR. FAMILY TRUST | F | Control |
Registrations
Federal
IA
May 14, 2018 REGISTERED
Notice Filings (7)
FL NC NY PA TN VA WV
Address
10 SOUTH JEFFERSON ST.,SUITE 1210ROANOKE, VA 24011
United States
Phone: 540-342-1212