RIA Intelligence

FLOOD GAMBLE ASSOCIATES INC

CRD #110326 SEC #801-18701 NEW YORK, NY 212-333-2020
SEC Registered
Total AUM
$292.6M
Discretionary
$284.3M
Employees
1
Clients
--
Accounts
232

Firm Details

Organization Type
Corporation
State of Formation
New York
Fiscal Year End
JANUARY
Registration Date
--
Latest Filing
Mar 30, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
FLOOD, CHARLES, ANDREWICHAIRMAND Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENTD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control
GAMBLE, KRISTINIPRESIDENT, CHIEF COMPLIANCE OFFICERD Control

Registrations

Federal

IA
Mar 30, 2012 REGISTERED

Notice Filings (7)

CA CT FL MA NY TX VA

Address

610 5TH AVE
NEW YORK, NY 10020
United States
Phone: 212-333-2020