STRATEGIC POINT RETIREMENT PLAN SERVICES LLC
CRD #124637 SEC #801-61712 PROVIDENCE, RI 401-273-1500
SEC Registered
Total AUM
$9.5M
Discretionary
$9.2M
Employees
5
Clients
101
Accounts
250
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 16, 2005
- 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 |
|---|---|---|---|---|
| ANZELONE, RICHARD, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| ANZELONE, RICHARD, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| BROCHU, DAVID, FRANCIS | I | PRESIDENT/DIRECTOR | NA | Control |
| BROCHU, DAVID, FRANCIS | I | PRESIDENT/DIRECTOR | NA | Control |
| BROCHU, DAVID, FRANCIS | I | PRESIDENT/DIRECTOR | NA | Control |
| SCHLESINGER, JILL | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| SCHLESINGER, JILL | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| SCHLESINGER, JILL | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| STOTZ, DOUGLAS, B | I | DIRECTOR | NA | Control |
| PROGRESSIVE FINANCIAL STRATEGIES LLC | DE | MEMBER | E | Control |
| PROGRESSIVE FINANCIAL STRATEGIES LLC | DE | MEMBER | E | Control |
| PROGRESSIVE FINANCIAL STRATEGIES LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FLEET BOSTON | DE | BANCBOSTON INVESTMENTS, INC. | E | Control |
| FINANCIAL STRATEGIES, INC. | DE | PROGRESSIVE FINANCIAL STRATEGIES, LLC | D | Control |
| FINANCIAL STRATEGIES, INC. | DE | PROGRESSIVE FINANCIAL STRATEGIES, LLC | D | Control |
| FINANCIAL STRATEGIES, INC. | DE | PROGRESSIVE FINANCIAL STRATEGIES, LLC | D | Control |
| BANCBOSTON INVESTMENTS, INC. | DE | PROGRESSIVE FINANCIAL STRATEGIES, LLC | C | Control |
| BROCHU, DAVID, FRANCIS | I | FINANCIAL STRATEGIES, INC. | C | Control |
| BROCHU, DAVID, FRANCIS | I | FINANCIAL STRATEGIES, INC. | C | Control |
| BROCHU, DAVID, FRANCIS | I | FINANCIAL STRATEGIES, INC. | C | Control |
| SCHLESINGER, JILL | I | FINANCIAL STRATEGIES, INC. | C | Control |
| SCHLESINGER, JILL | I | FINANCIAL STRATEGIES, INC. | C | Control |
| SCHLESINGER, JILL | I | FINANCIAL STRATEGIES, INC. | C | Control |
Registrations
Federal
IA
Dec 16, 2005 REGISTERED
Notice Filings (11)
CA CT FL HI MA ME NH NJ RI VA VT
Address
220 WEST EXCHANGE STREETSUITE 300
PROVIDENCE, RI 2903
USA
Phone: 401-273-1500