C.E. UNTERBERG TOWBIN ADVISORS, LLC
Legal name: C.E. UNTERBERG, TOWBIN ADVISORS, LLC
CRD #107244 SEC #801-43696 NEW YORK, NY 212-389-8000
SEC Registered
Total AUM
$10.4M
Discretionary
$10.4M
Employees
5
Clients
0
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 29, 2009
- 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 |
|---|---|---|---|---|
| ABRAMS, GENE, ROBERT | I | DIRECTOR OF COMPLIANCE | NA | |
| ABRAMS, GENE, ROBERT | I | DIRECTOR OF COMPLIANCE | NA | |
| ABULARRAGE, JOHN, JOSEPH | I | EXECUTIVE CHAIRMAN | NA | |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ALEX P. BERNSTEIN INC. | DE | GENERAL PARTNER | NA | |
| ALEX P. BERNSTEIN INC. | DE | GENERAL PARTNER | NA | |
| AMANDA MACKLOWE CORP. | DE | GENERAL PARTNER | NA | |
| AMANDA MACKLOWE CORP. | DE | GENERAL PARTNER | NA | |
| ANDREW WALDECK CORP. | DE | GENERAL PARTNER | NA | |
| ANDREW WALDECK CORP. | DE | GENERAL PARTNER | NA | |
| ARNO, ANDREW | I | CEO | NA | |
| ASLN INC. | DE | GENERAL PARTNER | NA | |
| ASLN INC. | DE | GENERAL PARTNER | NA | |
| BARRETT, DAVID, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID, MICHAEL | I | CFO | NA | |
| BARRETT, DAVID, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID, MICHAEL | I | CFO | NA | |
| BERGER, ANDREW, LEON | I | CHAIRMAN OF ADVISORS | NA | |
| BOB THOMPSON CORP. | DE | GENERAL PARTNER | NA | |
| BOB THOMPSON CORP. | DE | GENERAL PARTNER | NA | |
| BOB THOMPSON CORP. | DE | GENERAL PARTNER | NA | |
| BORRELLI, ALAN, PASQUALE | I | CHIEF FINANCIAL OFFICER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRIAN L. FINNERTY INC. | DE | GENERAL PARTNER | NA | |
| BRIAN L. FINNERTY INC. | DE | GENERAL PARTNER | NA | |
| CHOY, MARTHA, ADDAMS | I | CHIEF COMPLIANCE OFFICER | NA | |
| DADDY HADLOCK INC. | DE | GENERAL PARTNER | NA | Control |
| DAVID BOUCHER CORP. | DE | GENERAL PARTNER | NA | |
| DAVID BOUCHER CORP. | DE | GENERAL PARTNER | NA | |
| DC II | DE | GENERAL PARTNER | NA | |
| DC II | DE | GENERAL PARTNER | NA | |
| DUGGAN, THOMAS, EDWARD | I | GENERAL COUNSEL | NA | |
| DUGGAN, THOMAS, EDWARD | I | GENERAL COUNSEL | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| FLORENCE KIMM CORP. | DE | GENERAL PARTNER | NA | |
| FLORENCE KIMM CORP. | DE | GENERAL PARTNER | NA | |
| GALLAGHER C. LTD. | DE | GENERAL PARTNER | NA | Control |
| GUTFREUND, JOHN, PETER | I | TRADER | NA | |
| GUTFREUND, JOHN, PETER | I | TRADER | NA | |
| HADLOCK, MARK, G | I | SECRETARY & CCO | NA | |
| HADLOCK, MARK, G | I | SECRETARY & CCO | NA | |
| HADLOCK, MARK, GRABAN | I | SECRETARY & CCO | NA | |
| JACANDMAQ INC., LTD. | DE | GENERAL PARTNER | NA | |
| JACANDMAQ INC., LTD. | DE | GENERAL PARTNER | NA | |
| JAMES D. POYNER JR. INC. | DE | GENERAL PARTNER | NA | |
| JAMES D. POYNER JR. INC. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JAMES W. WEIL CORP. | DE | GENERAL PARTNER | NA | |
| JAMES W. WEIL CORP. | DE | GENERAL PARTNER | NA | |
| JAMES W. WEIL CORP. | DE | GENERAL PARTNER | NA | |
| JANE DRAGONE LTD. | DE | GENERAL PARTNER | NA | |
| JANE DRAGONE LTD. | DE | GENERAL PARTNER | NA | |
| JOHN CRONIN INC. | DE | GENERAL PARTNER | NA | |
| JOHN CRONIN INC. | DE | GENERAL PARTNER | NA | |
| JOHN O'HAGAN LTD. | DE | GENERAL PARTNER | NA | |
| JOLEX INC. | DE | GENERAL PARTNER | NA | |
| JON C. POLLAK | DE | GENERAL PARTNER | NA | Control |
| KAPADIA, KALPESH, GOPALPAS | I | GENERAL PARTNER | NA | Control |
| KATHERINE R.EGBERT | DE | GENERAL PARTNER | NA | Control |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| LAVITT, MEL, STUART | I | CHAIRMAN OF ADVISORS | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARTIN PYYKKONEN, INC. | DE | GENERAL PARTNER | NA | |
| MARTIN PYYKKONEN, INC. | DE | GENERAL PARTNER | NA | |
| MATLUCK, ROBERT, MICHAEL | I | COO & PRESIDENT | NA | |
| MATLUCK, ROBERT, MICHAEL | I | COO & PRESIDENT | NA | |
| MATLUCK, ROBERT, MICHAEL | I | EXECUTIVE COMMITTEE MEMBER | NA | Control |
| MCLOUGHLIN, SHAWN, DAMIEN | I | EXECUTIVE CHAIRMAN | NA | |
| MCLOUGHLIN, SHAWN, DAMIEN | I | EXECUTIVE CHAIRMAN | NA | |
| MICHAEL J. KRASKO INC. | DE | GENERAL PARTNER | NA | Control |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| QUESTEL, INC. | DE | GENERAL PARTNER | NA | |
| QUESTEL, INC. | DE | GENERAL PARTNER | NA | |
| RD LONG CORP. | DE | GENERAL PARTNER | NA | |
| RD LONG CORP. | DE | GENERAL PARTNER | NA | |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | NA | |
| S.J. DORA | DE | GENERAL PARTNER | NA | Control |
| SKLAR CORP | DE | GENERAL PARTNER | NA | Control |
| SORRENTINO, RICHARD, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| STS CORP | DE | GENERAL PARTNER | NA | Control |
| SULFARO, MICHAEL, CARL | I | CCO | NA | Control |
| SYDNEY MURPHY LTD. | DE | GENERAL PARTNER | NA | |
| SYDNEY MURPHY LTD. | DE | GENERAL PARTNER | NA | |
| T.O. RUDD CORPORATION | DE | GENERAL PARTNER | NA | |
| T.O. RUDD CORPORATION | DE | GENERAL PARTNER | NA | |
| THE MOOREHEAD GROUP INC. | DE | GENERAL PARTNER | NA | |
| THE MOOREHEAD GROUP INC. | DE | GENERAL PARTNER | NA | |
| THOMAS DUGGAN INC. | DE | GENERAL PARTNER | NA | |
| THOMAS DUGGAN INC. | DE | GENERAL PARTNER | NA | |
| THOMPSON, ROBERT, LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT, LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT, LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| WEIL, JAMES, WILLIAM | I | CEO | NA | |
| WEIL, JAMES, WILLIAM | I | PRESIDENT/CEO | NA | Control |
| WEIL, JAMES, WILLIAM | I | PRESIDENT/CEO | NA | Control |
| WEIL, JAMES, WILLIAM | I | CEO | NA | |
| WEIL, JAMES, WILLIAM | I | CEO | NA | |
| WEIL, JAMES, WILLIAM | I | CEO | NA | |
| WEIL, JAMES, WILLIAM | I | PRESIDENT/CEO | NA | Control |
| C. E. UNTERBERG , TOWBIN HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| C. E. UNTERBERG , TOWBIN HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| C. E. UNTERBERG , TOWBIN HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| C. E. UNTERBERG , TOWBIN HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| C. E. UNTERBERG , TOWBIN HOLDINGS, LLC. | DE | SOLE SHAREHOLDER | E | Control |
| COLLINS STEWART INC | DE | SOLE SHAREHOLDER | E | Control |
| COLLINS STEWART INC | DE | SOLE SHAREHOLDER | E | Control |
| COLLINS STEWART INC | DE | SOLE SHAREHOLDER | E | Control |
| UNTERBERG, THOMAS, ISRAEL | I | NON-EXECUTIVE CHAIRMAN | C | |
| UNTERBERG, THOMAS, ISRAEL | I | EXECUTIVE COMMITTEE MEMBER | C | Control |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | B | |
| C. E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| C. E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| C. E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| UNTERBERG, THOMAS, ISRAEL | I | EXECUTIVE COMMITTEE MEMBER | B | Control |
| UNTERBERG, THOMAS, ISRAEL | I | EXECUTIVE COMMITTEE MEMBER | B | Control |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | A | |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | A | |
| ARTBIN INC. | DE | GENERAL PARTNER | A | Control |
| GUTFREUND & CO., INC. | DE | GENERAL PARTNER | A | Control |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| MATLUCK, ROBERT, MICHAEL | I | EXECUTIVE COMMITTEE MEMBER | A | Control |
| MATLUCK, ROBERT, MICHAEL | I | EXECUTIVE COMMITTEE MEMBER | A | Control |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | A | Control |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | A | Control |
| TOWBIN, ABRAHAM, ROBERT | I | EXECUTIVE COMMITTEE MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADLER, STEPHEN, JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ADLER, STEPHEN, JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ADLER, STEPHEN, JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| BERLIN, JORDAN, STUART | I | DC II | E | Control |
| BERLIN, JORDAN, STUART | I | DC II | E | Control |
| BERNSTEIN, ALEXANDER, PAUL | I | ALEX P. BERNSTEIN INC. | E | Control |
| BERNSTEIN, ALEXANDER, PAUL | I | ALEX P. BERNSTEIN INC. | E | Control |
| BLUM, ANDREW, MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BLUM, ANDREW, MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BLUM, ANDREW, MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BOUCHER, DAVID, FARRELL | I | DAVID BOUCHER CORP. | E | Control |
| BOUCHER, DAVID, FARRELL | I | DAVID BOUCHER CORP. | E | Control |
| BRANIGAN, MARK, CHRISTOPHER | I | BRANNIGAN HOLDINGS, LTD. | E | Control |
| BRANIGAN, MARK, CHRISTOPHER | I | BRANNIGAN HOLDINGS, LTD. | E | Control |
| BRANIGAN, MARK, CHRISTOPHER | I | BRANNIGAN HOLDINGS, LTD. | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS, INC. | DE | C.E. UNTERBERG, TOWBIN ADVISOR LLC | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS, LLC. | DE | C.E. UNTERBERG, TOWBIN ADVISOR LLC | E | Control |
| COLLINS STEWART INC | DE | C. E. UNERBERG, TOWBIN ADVISOR | E | Control |
| COLLINS STEWART INC | DE | C. E. UNERBERG, TOWBIN ADVISOR | E | Control |
| COLLINS STEWART INC | DE | C. E. UNERBERG, TOWBIN ADVISOR | E | Control |
| CRONIN, JOHN, RAYMOND | I | JOHN CRONIN INC. | E | Control |
| CRONIN, JOHN, RAYMOND | I | JOHN CRONIN INC. | E | Control |
| DORA, STEPHEN, JOHN | I | S.J. DORA, INC. | E | Control |
| DRAGONE, JANE, ELIZABETH | I | JANE DRAGONE LTD. | E | Control |
| DRAGONE, JANE, ELIZABETH | I | JANE DRAGONE LTD. | E | Control |
| DUGGAN, THOMAS, EDWARD | I | THOMAS DUGGAN INC. | E | Control |
| DUGGAN, THOMAS, EDWARD | I | THOMAS DUGGAN INC. | E | Control |
| ECKHARDT, CHARLES, COLE | I | ECKHARDT CORP. | E | Control |
| ECKHARDT, CHARLES, COLE | I | ECKHARDT CORP. | E | Control |
| ECKHARDT, CHARLES, COLE | I | ECKHARDT CORP. | E | Control |
| EGBERT, KATHERINE, R | I | KATHERINE R. EGBERT | E | Control |
| FINNERTY, BRIAN, LEONARD | I | BRIAN L. FINNERTY INC. | E | Control |
| FINNERTY, BRIAN, LEONARD | I | BRIAN L. FINNERTY INC. | E | Control |
| FRANKFORT, ADAM, SAUL | I | ASLN INC. | E | Control |
| FRANKFORT, ADAM, SAUL | I | ASLN INC. | E | Control |
| GALLAGHER, CHRISTINE, C | I | GALLAGHER C. LTD | E | Control |
| GARVEY, THERESA, MARIE | I | QUESTEL INC. | E | Control |
| GARVEY, THERESA, MARIE | I | QUESTEL INC. | E | Control |
| GUTFREUND, JOHN HALLE | DE | GUTFREUND & CO., INC | E | Control |
| HADLOCK, MARK, G | I | DADDY HADDY, INC. | E | Control |
| KAPADIA, KALPESH, GOPALPAS | I | KK HOLDING | E | Control |
| KIMM, FLORENCE, YOUNG | I | FLORENCE KIMM CORP. | E | Control |
| KIMM, FLORENCE, YOUNG | I | FLORENCE KIMM CORP. | E | Control |
| KRASKO, MICHAEL, JOHN | I | MICHAEL J. KRASKO | E | Control |
| LAVITT, MEL, STUART | I | LAVITT MANAGEMENT, INC. | E | Control |
| LAVITT, MEL, STUART | I | LAVITT MANAGEMENT, INC. | E | Control |
| LAVITT, MEL, STUART | I | LAVITT MANAGEMENT, INC. | E | Control |
| LEVY, MARK, LEWIS | I | MARK LEVY LTD. | E | Control |
| LEVY, MARK, LEWIS | I | MARK LEVY LTD. | E | Control |
| LEVY, MARK, LEWIS | I | MARK LEVY LTD. | E | Control |
| LONG, ROBERT, DOUGLAS | I | RD LONG | E | Control |
| LONG, ROBERT, DOUGLAS | I | RD LONG | E | Control |
| MACKLOWE, AMANDA, JANE | I | AMANDA MACKLOWE CORP. | E | Control |
| MACKLOWE, AMANDA, JANE | I | AMANDA MACKLOWE CORP. | E | Control |
| MARRUS, MICHAEL, EDWIN | I | MARRUS CORP. | E | Control |
| MARRUS, MICHAEL, EDWIN | I | MARRUS CORP. | E | Control |
| MARRUS, MICHAEL, EDWIN | I | MARRUS CORP. | E | Control |
| MATLUCK, ROBERT, MICHAEL | I | ROBERT MATLUCK, INC. | E | Control |
| MATLUCK, ROBERT, MICHAEL | I | ROBERT MATLUCK, INC. | E | Control |
| MATLUCK, ROBERT, MICHAEL | I | ROBERT MATLUCK, INC. | E | Control |
| MEISLER, MITCHELL, ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MEISLER, MITCHELL, ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MEISLER, MITCHELL, ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MOORHEAD, JOHN, UPSHUR | I | THE MOOREHEAD GROUP INC. | E | Control |
| MOORHEAD, JOHN, UPSHUR | I | THE MOOREHEAD GROUP INC. | E | Control |
| MOSKOWITZ, JEFFREY, CRAIG | I | JEFFREY C. MOSKOWITZ, LTD. | E | Control |
| MOSKOWITZ, JEFFREY, CRAIG | I | JEFFREY C. MOSKOWITZ, LTD. | E | Control |
| MOSKOWITZ, JEFFREY, CRAIG | I | JEFFREY C. MOSKOWITZ, LTD. | E | Control |
| MURPHY, SUZANNE, ELIZABETH | I | SYDNEY MURPHY LTD. | E | Control |
| MURPHY, SUZANNE, ELIZABETH | I | SYDNEY MURPHY LTD. | E | Control |
| OCONNOR, MICHELLE, PAULA | I | M.O'CONNOR INC. | E | Control |
| OCONNOR, MICHELLE, PAULA | I | M.O'CONNOR INC. | E | Control |
| OCONNOR, MICHELLE, PAULA | I | M.O'CONNOR INC. | E | Control |
| OHAGAN, JOHN, KEVIN | I | JOHN O'HAGAN LTD. | E | Control |
| ONEILL, THEODORE, RUDD | I | T. O RUDD CORPORATION | E | Control |
| ONEILL, THEODORE, RUDD | I | T. O RUDD CORPORATION | E | Control |
| POLLAK, JOHN, CREIGHTON | I | JOHN C. POLLAK | E | Control |
| POYNER, JAMES, DAVIS | I | JAMES D. POYNER JR. INC. | E | Control |
| POYNER, JAMES, DAVIS | I | JAMES D. POYNER JR. INC. | E | Control |
| PYYKKONEN, MARTIN, PAUL | I | MARTIN PYYKKONEN, INC. | E | Control |
| PYYKKONEN, MARTIN, PAUL | I | MARTIN PYYKKONEN, INC. | E | Control |
| QUARTNER, DOUGLAS, MICHAEL | I | JACANDMAQ INC., LTD. | E | Control |
| QUARTNER, DOUGLAS, MICHAEL | I | JACANDMAQ INC., LTD. | E | Control |
| RITZER, ADAM, ROBERT | I | ADAM RITZER INC. | E | Control |
| RITZER, ADAM, ROBERT | I | ADAM RITZER INC. | E | Control |
| RITZER, ADAM, ROBERT | I | ADAM RITZER INC. | E | Control |
| RODRIGUEZ, PAUL, FREDERICK | I | JOLEX INC. | E | Control |
| SINGER, JAMES, ALAN | I | JAMES SINGER CORP. | E | Control |
| SINGER, JAMES, ALAN | I | JAMES SINGER CORP. | E | Control |
| SINGER, JAMES, ALAN | I | JAMES SINGER CORP. | E | Control |
| SKLAR, JEFFREY, STUART | I | SKLAR CORP | E | Control |
| STERN, STANLEY, B | I | STS CORP. | E | Control |
| TAWES, ORRIE, LEE | I | OL TAWES INC. | E | Control |
| TAWES, ORRIE, LEE | I | OL TAWES INC. | E | Control |
| TAWES, ORRIE, LEE | I | OL TAWES INC. | E | Control |
| THOMPSON, ROBERT, LEWIS | I | BOB THOMPSON CORP. | E | Control |
| THOMPSON, ROBERT, LEWIS | I | BOB THOMPSON CORP. | E | Control |
| THOMPSON, ROBERT, LEWIS | I | BOB THOMPSON CORP. | E | Control |
| TOWBIN, ABRAHAM, ROBERT | I | ARTBIN INC. | E | Control |
| UNTERBERG, THOMAS, ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS, ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS, ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| WALDECK, ANDREW, M | I | ANDREW WALDECK CORP. | E | Control |
| WALDECK, ANDREW, M | I | ANDREW WALDECK CORP. | E | Control |
| WEIL, JAMES, WILLIAM | I | JAMES W. WEIL CORP. | E | Control |
| WEIL, JAMES, WILLIAM | I | JAMES W. WEIL CORP. | E | Control |
| WEIL, JAMES, WILLIAM | I | JAMES W. WEIL CORP. | E | Control |
| WHIPPLE, JAMES, THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| WHIPPLE, JAMES, THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| WHIPPLE, JAMES, THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| BARRETT, DAVID, MICHAEL | I | DAVID MICHAEL BARRETT | C | Control |
| BARRETT, DAVID, MICHAEL | I | DAVID MICHAEL BARRETT | C | Control |
| C.E. UNTERBERG, INC. | DE | C.E. UNTERBERG, TOWBIN HOLDINGS, INC | C | Control |
| C.E. UNTERBERG, INC. | DE | C.E. UNTERBERG, TOWBIN HOLDINGS, INC | C | Control |
| C.E. UNTERBERG, INC. | DE | C.E. UNTERBERG, TOWBIN HOLDINGS, INC | C | Control |
| HADLOCK, MARK, G | I | MARK HADLOCK | C | Control |
| HADLOCK, MARK, G | I | MARK HADLOCK | C | Control |
| WEIL, JAMES, WILLIAM | I | JAMES W. WEIL | C | Control |
| WEIL, JAMES, WILLIAM | I | JAMES W. WEIL | C | Control |
Registrations
Federal
IA
Sep 29, 2009 REGISTERED
Notice Filings (6)
CA FL NM NY OH WI
Address
350 MADISON AVENUENEW YORK, NY 10017
United States
Phone: 212-389-8000