FINANCIAL PLANNING ASSOCIATES, INC.
Legal name: FINANCIAL PLANNING ASSOCIATES,INC.
CRD #112357 SEC #801-66586 TARRYTOWN, NY 914-347-8800
SEC Registered
Total AUM
$40.6M
Discretionary
$40.6M
Employees
5
Clients
51
Accounts
147
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- MAY
- Registration Date
- --
- Latest Filing
- Feb 22, 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 |
|---|---|---|---|---|
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| GAUL, JAMES, CARL | I | CHIEF COMPLIANCE OFFICER | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
| RACHLIN, JEFFREY | I | PRESIDENT | D | Control |
Registrations
Federal
IA
Feb 22, 2007 REGISTERED
Notice Filings (13)
CA CT FL MD NH NJ NV NY OH PA SC TX VA
Address
777 OLD SAW MILL RIVER ROAD SUITE 240TARRYTOWN, NY 10591
USA
Phone: 914-347-8800