ASSOCIATED SECURITIES CORP.
CRD #12969 SEC #801-45849 EL SEGUNDO, CA 310-670-0800
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
--
Clients
0
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- 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 |
|---|---|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | NA | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | NA | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | NA | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | NA | Control |
| BARNARD, WILLIAM PAUL | I | VP/INSURANCE | NA | Control |
| BARNARD, WILLIAM PAUL | I | VP/INSURANCE | NA | Control |
| BARNARD, WILLIAM PAUL | I | VP/INSURANCE | NA | Control |
| BARNARD, WILLIAM PAUL | I | VP/INSURANCE | NA | Control |
| BECKER, DAVID CLIFFORD SR. | I | CHIEF FINANCIAL OFFICER/TREASURER | NA | Control |
| BECKER, DAVID CLIFFORD SR. | I | CHIEF FINANCIAL OFFICER/TREASURER | NA | Control |
| BRODY, SCOTT NATHAN | I | SVP, CHIEF COMPLIANCE OFFICER | NA | |
| BRODY, SCOTT NATHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRODY, SCOTT NATHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRODY, SCOTT NATHAN | I | SVP, CHIEF COMPLIANCE OFFICER | NA | |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| BROWN, STEPHANIE LEIGH | I | DIRECTOR | NA | Control |
| CARSON, RANDAL ROY | I | SR VP/TRADING | NA | Control |
| COUCH, ALLISON LEE | I | PRESIDENT | NA | Control |
| COUCH, ALLISON LEE | I | PRESIDENT | NA | Control |
| DIXON, JOHN LINCOLN | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| DIXON, JOHN LINCOLN | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | VP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | VP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | SVP/GENERAL COUNSEL | NA | Control |
| EVANS, DENISE MARIE | I | VP/COMPLIANCE | NA | Control |
| FISHER, FAY EARL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FISHER, FAY EARL | I | SVP/CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| FISHER, FAY EARL | I | SVP/CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| FISHER, FAY EARL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GALVAN, MARY CATHERINE | I | VP/OPERATIONS | NA | Control |
| GERWICK, PATRICIA LEE | I | VP/REGIONAL DIRECTOR | NA | Control |
| HURLEY, GIFFORD JOHN | I | CEO/PRESIDENT | NA | Control |
| HURLEY, GIFFORD JOHN | I | CEO/PRESIDENT | NA | Control |
| HURLEY, GIFFORD JOHN | I | CEO/PRESIDENT | NA | Control |
| HURLEY, GIFFORD JOHN | I | CEO/PRESIDENT | NA | Control |
| KALBAUGH, JOHN ANDREW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KALBAUGH, JOHN ANDREW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| LINDSEY, JOHN ROY | I | TREASURER/CFO | NA | Control |
| MALONEY, MAUREEN MELODEE | I | SVP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MALONEY, MAUREEN MELODEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MALONEY, MAUREEN MELODEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MALONEY, MAUREEN MELODEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MALONEY, MAUREEN MELODEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MALONEY, MAUREEN MELODEE | I | SVP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGAUGHEY, SEAN PETER | I | SVP, OPERATIONS | NA | Control |
| MCGAUGHEY, SEAN PETER | I | SVP, OPERATIONS | NA | Control |
| MCGIVNEY, JOHN MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| NAKAGIRI, NEAL EDWIN | I | PRESIDENT/CEO/GENERAL COUNSEL | NA | Control |
| NAKAGIRI, NEAL EDWIN | I | PRESIDENT/CEO/GENERAL COUNSEL/SR. CROP | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| RICHARDSON, KIM A | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| SCHEFFY, ELGONDE MAGDALENA | I | CHIEF OPERATING OFFICER | NA | Control |
| SCHEFFY, ELGONDE MAGDALENA | I | CHIEF OPERATING OFFICER/CROP | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SR VP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SR VP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SR VP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SVP/INVESTMENT RESEARCH | NA | Control |
| SUJANANI, MURLI DAYARAM | I | SR VP/INVESTMENT RESEARCH | NA | Control |
| VALTAIRO, PHILLIP BUHAY | I | VICE PRESIDENT AND AFFILIATED BROKER-DEALER CONTROLLER | NA | |
| VANDEGRIFT, MARK ALAN | I | VP/REGIONAL DIRECTOR | NA | Control |
| WALLACE, JAMES HUGH | I | CONTROLLER | NA | |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
| ASSOCIATED FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FREIDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FREIDMAN CAPITAL PARTNERS V, LP | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG GENPAR, IV L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR, IV L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR, IV L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR, IV L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR, IV L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FREIDMAN CAPITAL PARTNERS V, LP | E | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FREIDMAN CAPITAL PARTNERS V, LP | E | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC | DE | HELLMAN & FREIDMAN CAPITAL PARTNERS V, LP | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPEDENT ADVISOR SERVICES GROUP, LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPEDENT ADVISOR SERVICES GROUP, LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPEDENT ADVISOR SERVICES GROUP, LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPEDENT ADVISOR SERVICES GROUP, LLC | E | Control |
| LPL HOLDINGS, INC. | DE | LPL INDEPEDENT ADVISOR SERVICES GROUP, LLC | E | Control |
| LPL INDEPENDENT ADVISOR SERVICES GROUP, LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| LPL INDEPENDENT ADVISOR SERVICES GROUP, LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| LPL INDEPENDENT ADVISOR SERVICES GROUP, LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| LPL INDEPENDENT ADVISOR SERVICES GROUP, LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| LPL INDEPENDENT ADVISOR SERVICES GROUP, LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| PACIFIC LIFE CORP. | DE | PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFE CORP. | DE | PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFE CORP. | DE | PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFE CORP. | DE | PACIFIC LIFE INSURANCE COMPANY | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP, LLC | E | Control |
| PACIFIC MUTUAL DISTRIBUTORS, INC. | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP. | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP. | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP. | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP. | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT GROUP,LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT GROUP,LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT GROUP,LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT GROUP,LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| PACIFIC SELECT GROUP,LLC | DE | ASSOCIATED FINANCIAL GROUP, INC. | E | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC. | C | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC. | C | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS, IV, INC. | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC. | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC. | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS, IV, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, INC. | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, L.P. | C | Control |
| PRICE, WILLIAM STANLEY III | I | TPG ADVISORS, IV, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
PACIFIC CORPORATE TOWERS222 N. SEPULVEDA BLVD. STE 1800
EL SEGUNDO, CA 90245
United States
Phone: 310-670-0800