ROOSEVELT INVESTMENT GROUP INC
CRD #107828 SEC #801-7506 NEW YORK, NY 212-509-6567
SEC Registered
Total AUM
$178M
Discretionary
$178M
Employees
10
Clients
--
Accounts
93
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Jul 5, 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 |
|---|---|---|---|---|
| GUARINO, DONALD JOHN | DE | CHAIRMAN | B | Control |
| HSIA, SVEN ERIK | DE | SEC-TREASURER MANAGING DIR | B | Control |
| LOMBARDI, DOMINICK PETER | DE | VP INVESTMENTS | B | Control |
| ROOSEVELT, TWEED | DE | PRESIDENT | B | Control |
| SPEAR, BERNARD | DE | CEO | B | Control |
Registrations
Federal
IA
Jul 5, 2001 REGISTERED
Notice Filings (4)
CT FL MA NY
Address
63 WALL STREETNEW YORK, NY 10005
USA
Phone: 212-509-6567