NOLLENBERGER CAPITAL INVESTMENT ADVISORY, INC.
Legal name: NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.
CRD #123904 SEC #801-70619 SAN FRANCISCO, CA 415-402-6000
SEC Registered
Total AUM
$1.3M
Discretionary
$1.3M
Employees
10
Clients
0
Accounts
7
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 15, 2010
- 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 |
|---|---|---|---|---|
| HESKE, DOUGLAS, CHARLES | I | CHIEF OPERATING OFFICER | NA | Control |
| HESKE, DOUGLAS, CHARLES | I | PRESIDENT/CEO | NA | Control |
| HESKE, DOUGLAS, CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NOLLENBERGER, BRUCE, WESTON | I | CHAIRMAN | NA | Control |
| NOLLENBERGER, BRUCE, WESTON | I | CHAIRMAN | NA | Control |
| STANLEY, MICHAEL, DEAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| STANLEY, MICHAEL, DEAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| STRELOW, TRACY, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NOLLENBERGER CAPITAL PARTNERS INC. | DE | CORPORATION | E | Control |
| NOLLENBERGER CAPITAL PARTNERS INC. | DE | CORPORATION | E | Control |
Registrations
Federal
IA
Jun 15, 2010 REGISTERED
Notice Filings (3)
CA CO ID
Address
101 CALIFORNIA ST. SUITE 3100SAN FRANCISCO, CA 94111
United States
Phone: 415-402-6000