RIA Intelligence

BLUM SHAPIRO FINANCIAL SERVICES INC

CRD #111185 SEC #801-38630 WEST HARTFORD, CT 860-561-4000
SEC Registered
Total AUM
$98.5M
Discretionary
$52.8M
Employees
5
Clients
25
Accounts
115

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 27, 2007
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
BLUM, BERNARDITREASURERNA Control
BLUM, BERNARDITREASURERNA Control
BLUM, BERNARDITREASURERNA Control
BLUM, BERNARDITREASURERNA Control
DAVIS, LAWRENCE, C.ICHIEF COMPLIANCE OFFICER/DIRECTORNA Control
DAVIS, LAWRENCE, C.ICHIEF COMPLIANCE OFFICER/DIRECTORNA Control
DAVIS, LAWRENCE, C.IDIRECTORNA Control
DAVIS, LAWRENCE, C.ICHIEF COMPLIANCE OFFICER/DIRECTORNA Control
JOHNSON, CARL, RIPRESIDENTNA Control
JOHNSON, CARL, RIPRESIDENTNA Control
JOHNSON, CARL, RIPRESIDENTNA Control
JOHNSON, CARL, RIPRESIDENTNA Control
KAPLAN, FREDERICK, J.IDIRECTORNA Control
KAPLAN, FREDERICK, J.IDIRECTORNA Control
KAPLAN, FREDERICK, J.IDIRECTORNA Control
KAPLAN, FREDERICK, J.IDIRECTORNA Control
NIEDERMEYER, PETER, JISECRETARYNA Control
NIEDERMEYER, PETER, JISECRETARYNA Control
NIEDERMEYER, PETER, JISECRETARYNA Control
NIEDERMEYER, PETER, JISECRETARYNA Control
BLUM SHAPIRO & CO., P.C.DECORPORATE PARENTE Control
BLUM SHAPIRO & CO., P.C.DECORPORATE PARENTE Control
BLUM SHAPIRO & CO., P.C.DECORPORATE PARENTE Control
BLUM SHAPIRO & CO., P.C.DECORPORATE PARENTE Control
BLUM SHAPIRO & CO., P.C.DECORPORATE PARENTE Control
BLUM, BERNARDITREASURERA Control
DAVIS, LAWRENCE, C.IDIRECTORA Control
KAPLAN, FREDERICK, J.IDIRECTORA Control
ROSENTHAL, DAVID, B.IPRESIDENTA Control

Registrations

Federal

IA
Mar 27, 2007 REGISTERED

Notice Filings (1)

CT

Address

29 SOUTH MAIN STREET
WEST HARTFORD, CT 06107-2419
USA
Phone: 860-561-4000