SOUND ASSET MANAGEMENT, INC.
CRD #133871 SEC #801-63989 BROOKLYN, NY 718-331-3700
SEC Registered
Total AUM
$54.7M
Discretionary
$54.7M
Employees
--
Clients
--
Accounts
203
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 19, 2007
- 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 |
|---|---|---|---|---|
| HELLMERS, WILLIAM, CHARLES | I | CCO/COO | NA | Control |
| HELLMERS, WILLIAM, CHARLES | I | CHIEF COMPLIANCE OFFICER/COO | NA | Control |
| MAIORANO, JOSEPH, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAIORANO, JOSEPH, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER/PRESIDENT | NA | Control |
| WALSH, ROBERT, FRANCIS | I | ASSET MANAGER | NA | Control |
| WALSH, ROBERT, FRANCIS | I | ASSET MANAGER | NA | Control |
| MAIORANO, SERAFINO, FRANK | I | CHIEF EXECUTIVE OFFICER | E | Control |
| MAIORANO, SERAFINO, FRANK | I | CHIEF EXECUTIVE OFFICER | E | Control |
Registrations
Federal
IA
Mar 19, 2007 REGISTERED
Notice Filings (3)
CT NJ NY
Address
8754 BAY 16TH ST.BROOKLYN, NY 11214
USA
Phone: 718-331-3700