STARK & ROTH LLC
Legal name: STARK INVESTMENTS
CRD #137442 SEC #801-65300 MILWAUKEE, WI 414-294-7000
SEC Registered Private Funds Disclosures
Total AUM
$305.7M
Discretionary
$305.7M
Employees
15
Clients
--
Accounts
25
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Wisconsin
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 6, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, RYAN, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| ANSARI, MOHSINUDDIN | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND SENIOR PORTFOLIO MANAGER | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND SENIOR PORTFOLIO MANAGER | NA | Control |
| BARNARD, ROBERT, JAMES | I | VP, ASSISTANT CIO, STARK & ROTH, INC. | NA | Control |
| BARNARD, ROBERT, JAMES | I | VP, ASSISTANT CIO, STARK & ROTH, INC. | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | VP, ASSISTANT CIO, STARK & ROTH, INC. | NA | Control |
| BARNARD, ROBERT, JAMES | I | PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BARNARD, ROBERT, JAMES | I | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| BOBBS, DONALD, TRENT | I | PRINCIPAL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| CHICK, MICHAEL, STEPHEN | I | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DAVIDSON, BRIAN, HOWARD | I | PRINCIPAL | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER, STARK & ROTH, INC. | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER, STARK & ROTH, INC. | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER, STARK & ROTH, INC. | NA | Control |
| DESAI, MEHUL, SHAILESH | I | CHIEF RISK OFFICER | NA | Control |
| DIDONATO, ROBERT, ALLEN | I | CHIEF OPERATING OFFICER | NA | Control |
| DIDONATO, ROBERT, ALLEN | I | CHIEF OPERATING OFFICER | NA | Control |
| DIDONATO, ROBERT, ALLEN | I | CHIEF OPERATING OFFICER | NA | Control |
| DIDONATO, ROBERT, ALLEN | I | CHIEF OPERATING OFFICER | NA | Control |
| DIDONATO, ROBERT, ALLEN | I | CHIEF OPERATING OFFICER | NA | Control |
| HOLMES, MICHAEL, TROY | I | CEO, CCO, STARK INVESTMENTS (CANADA) CORP. | NA | Control |
| HOLMES, MICHAEL, TROY | I | CEO, CCO, STARK INVESTMENTS (CANADA) CORP. | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| KEOUGH, MICHAEL, THOMAS | I | PRINCIPAL | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRINCIPAL | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRESIDENT AND COO, STARK & ROTH INC. | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRESIDENT AND COO, STARK & ROTH INC. | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRINCIPAL | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRINCIPAL | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRESIDENT AND COO, STARK & ROTH INC. | NA | Control |
| LANCASTER, COLIN, MICHAEL | I | PRINCIPAL | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES | NA | Control |
| LUCAS, JOSEPH, JOHN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF LEGAL OFFICER | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER AND GENERAL COUNSEL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER AND GENERAL COUNSEL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | GENERAL COUNSEL, STARK & ROTH, INC. | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | GENERAL COUNSEL, STARK & ROTH, INC. | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF LEGAL OFFICER | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF LEGAL OFFICER | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | GENERAL COUNSEL, STARK & ROTH, INC. | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF LEGAL OFFICER | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MCNALLY, DANIEL, JOSEPH | I | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER. | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER. | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEILI, BRETT, RANDALL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| NIMANI, VENTON | I | CHIEF RISK OFFICER | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | HEAD OF BUSINESS DEVELOPMENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | HEAD OF BUSINESS DEVELOPMENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROTH, MICHAEL, ANTHONY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| STARK, BRIAN, JAY | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TYLICKI, JOSEPH, ROY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WILSON, STUART, MICHAEL | I | PRINCIPAL | NA | Control |
| WYATT, MAURICE, ROCHE | I | EXECUTIVE COMMITTEE MEMBER, STARK INVESTMENTS (UK) LLP | NA | Control |
| WYATT, MAURICE, ROCHE | I | EXECUTIVE COMMITTEE MEMBER, STARK INVESTMENTS (UK) LLP | NA | Control |
| STARK & ROTH (UK) LIMITED | FE | CORPORATE MEMBER OF STARK INVESTMENTS (UK) LLP | E | Control |
| STARK & ROTH (UK) LIMITED | FE | CORPORATE MEMBER OF STARK INVESTMENTS (UK) LLP | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH HOLDING INC. | DE | MEMBER | E | Control |
| STARK & ROTH, INC. | DE | SOLE MEMBER OF STARK INVESTMENTS (WASHINGTON) LLC | E | Control |
| STARK & ROTH, INC. | DE | SOLE MEMBER OF STARK INVESTMENTS (WASHINGTON) LLC | E | Control |
| STARK CANADA HOLDINGS INC. | DE | SOLE SHAREHOLDER OF STARK INVESTMENTS (CANADA) CORP. | E | Control |
| STARK CANADA HOLDINGS INC. | DE | SOLE SHAREHOLDER OF STARK INVESTMENTS (CANADA) CORP. | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | CIO STARK & ROTH, INC., CEO/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES* (CONTINUED AT SCHEDULE D MISC.) | E | Control |
| STARK, BRIAN, JAY | I | CIO STARK & ROTH, INC., CEO/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES* (CONTINUED AT SCHEDULE D MISC.) | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| STARK, BRIAN, JAY | I | CIO STARK & ROTH, INC., CEO/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES* (CONTINUED AT SCHEDULE D MISC.) | E | Control |
| STARK, BRIAN, JAY | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | E | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | EVP/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILATES** (CONTINUED AT SCHEDULE D MISC.) | C | Control |
| ROTH, MICHAEL, ANTHONY | I | EVP/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILATES** (CONTINUED AT SCHEDULE D MISC.) | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
| ROTH, MICHAEL, ANTHONY | I | EVP/MANAGING MEMBER OR COMPARABLE ROLE FOR ALL ADVISORY AFFILATES** (CONTINUED AT SCHEDULE D MISC.) | C | Control |
| ROTH, MICHAEL, ANTHONY | I | DIRECTOR, SECRETARY, TREASURER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| STARK & ROTH, INC. | DE | STARK & ROTH (UK) LIMITED | E | Control |
| STARK & ROTH, INC. | DE | STARK CANADA HOLDINGS INC. | E | Control |
| STARK & ROTH, INC. | DE | STARK & ROTH (UK) LIMITED | E | Control |
| STARK & ROTH, INC. | DE | STARK CANADA HOLDINGS INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH, INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH, INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| STARK, BRIAN, JAY | I | STARK & ROTH HOLDING INC. | E | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH, INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH, INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
| ROTH, MICHAEL, ANTHONY | I | STARK & ROTH HOLDING INC. | C | Control |
Registrations
Federal
IA
Jun 6, 2018 REGISTERED
Notice Filings (5)
CA FL IL WA WI
Address
735 NORTH WATER STREETSUITE 790
MILWAUKEE, WI 53202
United States
Phone: 414-294-7000