GILFORD FINANCIAL CORP.
CRD #126593 SEC #801-68766 NEW YORK, NY 212-888-6400
SEC Registered Broker-Dealer Disclosures
Total AUM
$62.1M
Discretionary
$44.2M
Employees
26
Clients
0
Accounts
265
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 9, 2014
- 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 |
|---|---|---|---|---|
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLAWAY, DANIEL, COLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CATALANO, JOHN, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| GRANAHAN, RICHARD, WILLIAM | I | COO | NA | Control |
| GRANAHAN, RICHARD, WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHN, CATALANO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHN, CATALANO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAISTO, NANCY | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAISTO, NANCY | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAISTO, NANCY | I | COMPLIANCE OFFICER | NA | |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | CFO, TREASURER AND DIRECTOR | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| MALEY, ROBERT, ANDREW | I | TREASURER AND DIRECTOR, PRESIDENT & CEO | NA | Control |
| RAWDON, FRANCIS, DANIEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RAWDON, FRANCIS, DANIEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, CCO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SACHS, BONNIE, JANE EDELMAN | I | DIRECTOR, COO, CFO, | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANCHEZ, HENRY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TWINING, NICHOLAS, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TWINING, NICHOLAS, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TWINING, NICHOLAS, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| WORTHINGTON, RALPH | I | DIRECTOR | NA | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | NA | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
| GILFORD SECURITIES INCORPORATED | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GILFORD SECURITIES INCORPORATED | DE | GILFORD FINANCIAL CORP | E | Control |
| LENNOX SECURITIES | DE | GILFORD SECURITIES INCORPORATED | D | Control |
| LENNOX SECURITIES | DE | GILFORD SECURITIES INCORPORATED | D | Control |
| LENNOX SECURITIES | DE | GILFORD SECURITIES INCORPORATED | D | Control |
| WORTHINGTON, RALPH | I | LENNOX SECURITIES | D | Control |
| WORTHINGTON, RALPH | I | LENNOX SECURITIES | D | Control |
| WORTHINGTON, RALPH | I | LENNOX SECURITIES | D | Control |
| HOLMES, HUGH, ROBERT | I | LENNOX SECURITIES | C | |
| HOLMES, HUGH, ROBERT | I | LENNOX SECURITIES | C | |
| HOLMES, HUGH, ROBERT | I | LENNOX SECURITIES | C | |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
| WORTHINGTON, RALPH | I | GILFORD SECURITIES | C | Control |
Registrations
Federal
IA
Dec 9, 2014 REGISTERED
Notice Filings (11)
AL CA CT FL MI MO NJ NY PA TX UT
Address
777 THIRD AVE17TH FLOOR
NEW YORK, NY 10017
United States
Phone: 212-888-6400