NGL INVESTMENT MANAGEMENT, INC.
Legal name: SOUTHEASTERN FINANCIAL SERVICES INC
CRD #107389 SEC #801-39629 LOUISVILLE, KY 502-585-6860
SEC Registered
Total AUM
$33.4M
Discretionary
$10.8M
Employees
5
Clients
0
Accounts
30
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 10, 2001
- 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 |
|---|---|---|---|---|
| COURTENAY, ERSKINE, HOWARD | I | VP, CHIEF INVESTMENT OFFICER | NA | Control |
| COURTENAY, ERSKINE, HOWARD | I | VP, CHIEF INVESTMENT OFFICER | NA | Control |
| DIDIER, PAUL, FRANCIS | I | ADMINISTRATOR/OFFICER | NA | Control |
| DIDIER, PAUL, FRANCIS | I | ADMINISTRATOR/OFFICER | NA | Control |
| FOSBURY, MICHAEL, CHARLES SWINBURN | I | PRESIDENT, DIRECTOR | NA | Control |
| FOSBURY, MICHAEL, CHARLES SWINBURN | I | PRESIDENT, DIRECTOR | NA | Control |
| LARSON, JOHN, DAVID | I | DIRECTOR | NA | Control |
| LARSON, JOHN, DAVID | I | DIRECTOR | NA | Control |
| LOWE, MICHAEL, WILLE | I | DIRECTOR | NA | Control |
| LOWE, MICHAEL, WILLE | I | DIRECTOR | NA | Control |
| MUCCI, ROBERT, ALLEN | I | DIRECTOR | NA | Control |
| MUCCI, ROBERT, ALLEN | I | DIRECTOR | NA | Control |
| NGL HOLDING INC. | DE | OWNER | E | Control |
| NGL HOLDING INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NATIONAL GUARDIAN LIFE INSURANCE COMPANY | DE | NGL HOLDING INC | E | Control |
| NATIONAL GUARDIAN LIFE INSURANCE COMPANY | DE | NGL HOLDING INC | E | Control |
Registrations
Federal
IA
Aug 10, 2001 REGISTERED
Notice Filings (6)
FL IA KY MI OH PA
Address
450 S THIRD STLOUISVILLE, KY 40202
USA
Phone: 502-585-6860