FA ASSET MANAGEMENT INC.
CRD #110965 SEC #801-39593 OAKBROOK TERRACE, IL 630-954-1322
SEC Registered
Total AUM
$54M
Discretionary
$54M
Employees
5
Clients
0
Accounts
4
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 21, 2007
- 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 |
|---|---|---|---|---|
| BROWN, CHARLES, ALAN | I | ASSOCIATE VICE PRESIDENT | NA | |
| FEINMAN, ANDREW, HOWARD | I | MANAGING DIRECTOR | NA | Control |
| GILLMAN, THEODORE, JONES | I | CHIEF EXECUTIVE OFFICER OF FIRST ALBANY ASSET MANAGEMENT | NA | Control |
| GILLMAN, THEODORE, JONES | I | CHIEF EXECUTIVE OFFICER OF FIRST ALBANY ASSET MANAGEMENT | NA | Control |
| GILLMAN, THEODORE, JONES | I | CHIEF EXECUTIVE OFFICER OF FIRST ALBANY ASSET MANAGEMENT | NA | Control |
| GOTTLIEB, PETER, DAVID | I | SENIOR PORTFOLIO MANAGER | NA | |
| HENNES, ROBERT, TAFT | I | SECRETARY, EXECUTIVE VICE PRESIDENT | NA | Control |
| HENNES, ROBERT, TAFT | I | SECRETARY, EXECUTIVE VICE PRESIDENT | NA | Control |
| HENNES, ROBERT, TAFT | I | SECRETARY, MANAGING DIRECTOR | NA | Control |
| HENNES, ROBERT, TAFT | I | SECRETARY, EXECUTIVE VICE PRESIDENT | NA | Control |
| HENNES, ROBERT, TAFT | I | SECRETARY, EXECUTIVE VICE PRESIDENT | NA | Control |
| HENNES, ROBERT, TAFT | I | SECRETARY, EXECUTIVE VICE PRESIDENT | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHMN & DIR OF FAAM,& CIO, EXEC MANAGING DIR, & DIRECTOR OF FAC., & SVP & DIRECTOR OF FIRST ALBANY COMPANIES, INC. | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHMN & DIR OF FAAM,& CIO, EXEC MANAGING DIR, & DIRECTOR OF FAC., & SVP & DIRECTOR OF FIRST ALBANY COMPANIES, INC. | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHAIRMAN, PRESIDENT & DIRECTOR | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHMN & DIR OF FAAM,& CIO, EXEC MANAGING DIR, & DIRECTOR OF FAC., & SVP & DIRECTOR OF FIRST ALBANY COMPANIES, INC. | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHMN & DIR OF FAAM,& CIO, EXEC MANAGING DIR, & DIRECTOR OF FAC., & SVP & DIRECTOR OF FIRST ALBANY COMPANIES, INC. | NA | Control |
| JOHNSON, HUGH, ALBERT | I | CHMN & DIR OF FAAM,& CIO, EXEC MANAGING DIR, & DIRECTOR OF FAC., & SVP & DIRECTOR OF FIRST ALBANY COMPANIES, INC. | NA | Control |
| MCKNIGHT, C, DIANNE | I | ASSOCIATE VICE PRESIDENT | NA | |
| OBARA, MYRANDA, JANE | I | MANAGING DIRECTOR | NA | Control |
| SABA, KIM, CARLA | I | VICE PRESIDENT | NA | |
| TRAVIS, CHARLES, HAFNER | I | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | NA | Control |
| TRAVIS, CHARLES, HAFNER | I | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | NA | Control |
| WALKER, DONALD, ALBERT | I | ASSOCIATE VICE PRESIDENT | NA | |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| FIRST ALBANY COMPANIES, INC. | DE | SHAREHOLDER | E | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CORP., PRESIDENT, DIRECTOR FIRST ALBANY ASSET MANAGEMENT, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CORP., PRESIDENT, DIRECTOR FIRST ALBANY ASSET MANAGEMENT, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CO-CEO, PRESIDENT, DIRECTOR, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CORP., PRESIDENT, DIRECTOR FIRST ALBANY ASSET MANAGEMENT, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CORP., PRESIDENT, DIRECTOR FIRST ALBANY ASSET MANAGEMENT, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CORP., PRESIDENT, DIRECTOR FIRST ALBANY ASSET MANAGEMENT, NYSE FLOOR MEMBER, ASSOCIATE MEMBER ASE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CAPITAL INC., DIRECTOR OF FA ASSSET MANAGEMENT | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CORP, DIRECTOR OF FIRST ALBANY ASSSET MANAGEMENT, BOARD OF DIRECTORS NYSE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CAPITAL INC., DIRECTOR OF FA ASSSET MANAGEMENT | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CORP, DIRECTOR OF FIRST ALBANY ASSSET MANAGEMENT, BOARD OF DIRECTORS NYSE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD, CO-CEO, DIRECTOR, BOARD OF DIRECTORS NYSE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CORP, DIRECTOR OF FIRST ALBANY ASSSET MANAGEMENT, BOARD OF DIRECTORS NYSE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CORP, DIRECTOR OF FIRST ALBANY ASSSET MANAGEMENT, BOARD OF DIRECTORS NYSE | B | Control |
| MCNAMEE, GEORGE, COOLEY | I | CHAIRMAN OF THE BOARD OF FIRST ALBANY CORP, DIRECTOR OF FIRST ALBANY ASSSET MANAGEMENT, BOARD OF DIRECTORS NYSE | B | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CAPITAL INC., PRESIDENT, DIRECTOR FA ASSET MANAGEMENT | A | Control |
| GOLDBERG, ALAN, PAUL | I | CEO OF FIRST ALBANY CAPITAL INC., PRESIDENT, DIRECTOR FA ASSET MANAGEMENT | A | Control |
Registrations
Federal
IA
Mar 21, 2007 REGISTERED
Notice Filings (13)
CA CT FL IL MA ME MO NE NH NJ NY TX VT
Address
TWO MID AMERICA PLAZASUITE 606
OAKBROOK TERRACE, IL 60181
USA
Phone: 630-954-1322