HAROLD C. BROWN & CO., LLC
CRD #126589 SEC #801-62111 BUFFALO, NY 716-854-2500
SEC Registered Broker-Dealer
Total AUM
$739.3M
Discretionary
$672.3M
Employees
--
Clients
25
Accounts
1,974
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 11, 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 |
|---|---|---|---|---|
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER/CROP/SROP/DIR | NA | Control |
| BUCK, WINTHROP LAWRENCE | I | PRESIDENT/TREASURER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CCO | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CCO | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CCO/DIRECTOR | NA | Control |
| KLUCIK, BARBARA LEIGH | I | CHIEF COMPLIANCE OFFICER\ FINOP | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MAGUIRE, MAUREEN IRWIN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | MUNICIPAL PRINCIPAL | NA | Control |
| MCCOLLUM, CHARLES WILLIAM | I | CHAIRMAN OF BOARD | NA | Control |
| PALUMBO, ANNETTE MARIE | I | FINOP | NA | Control |
| PALUMBO, ANNETTE MARIE | I | FINOP | NA | Control |
| PRATT, MICHAEL JOSEPH | I | MANAGING MEMBER | NA | Control |
| PRATT, MICHAEL JOSEPH | I | MANAGING MEMBER | NA | Control |
| PRATT, MICHAEL JOSEPH | I | MANAGING MEMBER | NA | Control |
| PRATT, MICHAEL JOSEPH | I | MANAGING MEMBER | NA | Control |
| PRATT, MICHAEL JOSEPH | I | MANAGING MEMBER | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| WARGO, ANNETTE MARIE | I | FINOP | NA | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MANAGING MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MANAGING MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MANAGING MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MANAGING MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MANAGING DIRECTOR/SECRETARY | C | Control |
| CHRISTOFERSON, KATHERINE ANN | I | CEO/MEMBER | C | Control |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| KAC/HCB INC. | DE | MEMBER | B | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | B | |
| STAURING, DEBORAH ANN | I | SENIOR VICE PRESIDENT, MEMBER | B | |
| STAURING, DEBORAH ANN | I | SENIOR VICE PRESIDENT, MEMBER | B | |
| STAURING, DEBORAH ANN | I | SENIOR VICE PRESIDENT, MEMBER | B | |
| STAURING, DEBORAH ANN | I | SENIOR VICE PRESIDENT, MEMBER | B | |
| BARTZ, EDWARD PHILIP | I | SENIOR VP | A | |
| BARTZ, EDWARD PHILIP | I | SENIOR VP | A | |
| BARTZ, EDWARD PHILIP | I | SENIOR VP | A | |
| BARTZ, EDWARD PHILIP | I | SENIOR VP | A | |
| BARTZ, EDWARD PHILIP | I | VICE PRESIDENT | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| BUDIN, MARY ANN | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| BUDIN, MARY ANN | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| BUDIN, MARY ANN | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| BUDIN, MARY ANN | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| BUDIN, MARY ANN | I | SENIOR VP | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| COLLARD, MATTHEW CHARLES | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DAS/HCB INC. | DE | MEMBER | A | |
| DTC/HCB INC. | DE | MEMBER | A | |
| DTC/HCB INC. | DE | MEMBER | A | |
| DTC/HCB INC. | DE | MEMBER | A | |
| DTC/HCB INC. | DE | MEMBER | A | |
| DTC/HCB INC. | DE | MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VP | A | |
| GROGAN, PETER JEROME | I | SENIOR VP | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VP | A | |
| GROGAN, PETER JEROME | I | SENIOR VP | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| GROGAN, PETER JEROME | I | SENIOR VP | A | |
| GROGAN, PETER JEROME | I | VICE PRESIDENT | A | |
| GROGAN, PETER JEROME | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KAC/HCB INC. | DE | MEMBER | A | |
| KAC/HCB INC. | DE | MEMBER | A | |
| KAC/HCB INC. | DE | MEMBER | A | |
| KAC/HCB INC. | DE | MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| KELLY, WILLIAM HUGH | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| MJP/HCB INC. | DE | MEMBER | A | |
| PRATT, MICHAEL JOSEPH | I | SENIOR VICE PRESIDENT/MEMBER | A | Control |
| PRATT, MICHAEL JOSEPH | I | SENIOR VICE PRESIDENT/MEMBER | A | Control |
| PRATT, MICHAEL JOSEPH | I | SENIOR VICE PRESIDENT/MEMBER | A | Control |
| PRATT, MICHAEL JOSEPH | I | SENIOR VICE PRESIDENT/MEMBER | A | Control |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | A | Control |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER/MANAGER | A | Control |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT | A | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | A | |
| SCHANZLIN, MARY PATRICIA | I | SENIOR VICE PRESIDENT/MEMBER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CHRISTOFERSON, KATHERINE ANN | I | KAC/HCB INC. | E | Control |
| CHRISTOFERSON, KATHERINE ANN | I | KAC/HCB INC. | E | Control |
| CHRISTOFERSON, KATHERINE ANN | I | KAC/HCB INC. | E | Control |
| CHRISTOFERSON, KATHERINE ANN | I | KAC/HCB INC. | E | Control |
| CHRISTOFERSON, KATHERINE ANN | I | KAC/HCB INC. | E | Control |
| COLELLO, DOLORES THERESA | I | DTC/HCB INC. | E | Control |
| COLELLO, DOLORES THERESA | I | DTC/HCB INC. | E | Control |
| COLELLO, DOLORES THERESA | I | DTC/HCB INC. | E | Control |
| COLELLO, DOLORES THERESA | I | DTC/HCB INC. | E | Control |
| COLELLO, DOLORES THERESA | I | DTC/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| PRATT, MICHAEL JOSEPH | I | MJP/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
| STAURING, DEBORAH ANN | I | DAS/HCB INC. | E | Control |
Registrations
Federal
IA
May 11, 2010 REGISTERED
Notice Filings (35)
AL AR AZ CA CT FL GA IL IN MA MD ME MN MO MS MT NC NE NH NJ NM NV NY OH OK PA RI SC TN TX UT VA VT WA WI
Address
ONE HSBC CENTERSUITE 3800
BUFFALO, NY 14203
United States
Phone: 716-854-2500