AUSTIN ATLANTIC ASSET MANAGEMENT CO.
CRD #110035 SEC #801-54963 CORAL GABLES, FL 800-327-6190
SEC Registered
Total AUM
$48.3M
Discretionary
$48.3M
Employees
3
Clients
0
Accounts
1
Firm Details
- Organization Type
- Corporation
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 22, 2024
- 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 |
|---|---|---|---|---|
| ADAMSON, DAVID | I | PRESIDENT | NA | Control |
| ADAMSON, DAVID | I | PRESIDENT | NA | Control |
| BERARDELLI, ARTHUR, MICHAEL | I | VICE PRESIDENT | NA | |
| BERARDELLI, ARTHUR, MICHAEL | I | VICE PRESIDENT | NA | |
| CALLAN, WILLIAM, PETER | I | CHAIRMAN & PORTFOLIO MANAGER | NA | Control |
| CALLAN, WILLIAM, PETER | I | CHAIRMAN & PORTFOLIO MANAGER | NA | Control |
| CALLAN, WILLIAM, PETER | I | CHAIRMAN & PORTFOLIO MANAGER | NA | Control |
| ELLENWOOD, DAN, KEITH | I | CHIEF COMPLIANCE OFFICER | NA | |
| ELLENWOOD, DAN, KEITH | I | CHIEF COMPLIANCE OFFICER | NA | |
| ELLENWOOD, DAN, KEITH | I | CHIEF COMPLIANCE OFFICER | NA | |
| ELLENWOOD, DAN, KEITH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| KELLEHER, STEPHEN, SEAN | I | PRESIDENT | NA | Control |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | VICE PRESIDENT | NA | |
| PODRAZA, ROBERT, THADEUS | I | VICE PRESIDENT | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| PODRAZA, ROBERT, THADEUS | I | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROWE, KEVIN, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMMONS, EDWARD, EARL | I | CHAIRMAN | NA | Control |
| SAMMONS, EDWARD, EARL | I | PRESIDENT | NA | Control |
| SAMMONS, EDWARD, EARL | I | PRESIDENT | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHAEFER, NOEMI, CARMEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHWEITZER, ROBERT, CHARLES | I | PRESIDENT | NA | Control |
| SCHWEITZER, ROBERT, CHARLES | I | PRESIDENT | NA | Control |
| SCHWEITZER, ROBERT, CHARLES | I | PRESIDENT | NA | Control |
| SCHWEITZER, ROBERT, CHARLES | I | PRESIDENT | NA | Control |
| SCHWEITZER, ROBERT, CHARLES | I | PRESIDENT | NA | Control |
| SHAY JR, RODGER, DAVID | I | PRESIDENT | NA | Control |
| SHAY JR, RODGER, DAVID | I | PRESIDENT | NA | Control |
| SHAY JR, RODGER, DAVID | I | PRESIDENT | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | VICE CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN & PRESIDENT | NA | Control |
| SHAY JR, RODGER, DAVID | I | CHAIRMAN & PRESIDENT | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | DIRECTOR | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | SENIOR VICE PRESIDENT | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | NA | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC INC. | DE | SHAREHOLDER | E | Control |
| AUSTIN ATLANTIC FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| PROVENANCE FINANCIAL, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | CORPORATION | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY INVESTMENT SERVICES, INC. | DE | SHAREHOLDER | E | Control |
| SHAY, RODGER, DAVID | I | CHAIRMAN | D | Control |
| SHAY, RODGER, DAVID | I | SENIOR VICE PRESIDENT | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | D | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | D | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | D | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | PROVENANCE FINANCIAL, INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY JR, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | SHAY INVESTMENT SERVICES, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL GROUP, INC. | C | Control |
| SHAY, RODGER, DAVID | I | PROVENANCE FINANCIAL, INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
| SHAY, RODGER, DAVID | I | AUSTIN ATLANTIC INC. | C | Control |
Registrations
Federal
IA
Mar 22, 2024 REGISTERED
Notice Filings (4)
FL IN NJ UT
Address
1 ALHAMBRA PLAZASUITE 100
CORAL GABLES, FL 33134
United States
Phone: 800-327-6190