WARFIELD ASSOCIATES, INC.
CRD #13774 SEC #801-19281 NEW YORK, NY 212-319-6755
SEC Registered Broker-Dealer
Total AUM
$317.4M
Discretionary
$286.3M
Employees
10
Clients
0
Accounts
187
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 7, 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 |
|---|---|---|---|---|
| MCKENNA, ANN ELIZABETH | I | CORPORATE SECRETARY | NA | |
| MCKENNA, ANN ELIZABETH | I | CORPORATE SECRETARY | NA | |
| MCKENNA, ANN ELIZABETH | I | CORPORATE SECRETARY | NA | |
| MCKENNA, ANN ELIZABETH | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| RODIN, BARBARA, ELLEN | I | CORPORATE SECRETARY | NA | |
| WARFIELD, THOMAS RUFFIN | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WARFIELD, THOMAS RUFFIN | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARNER, PHILIP WARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CHIEF COMPLIANCE OFFICER, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CHIEF COMPLIANCE OFFICER, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CCO, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FINANCIAL & OPERATIONS PRINCIPA L, CHIEF COMPLIANCE OFFICER | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FINANCIAL & OPERATIONS PRINCIPA L, CHIEF COMPLIANCE OFFICER | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CHIEF COMPLIANCE OFFICER, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CHIEF COMPLIANCE OFFICER, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FOP,CCO, SROP,CROP | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FINANCIAL & OPERATIONS PRINCIPA L, CHIEF COMPLIANCE OFFICER | E | Control |
| WARFIELD, THOMAS RUFFIN | I | PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL | E | Control |
| WARFIELD, THOMAS RUFFIN | I | CHAIRMAN | E | Control |
| WARFIELD, THOMAS RUFFIN | I | CHAIRMAN | E | Control |
| MAHONEY, DAVID MAURICE | I | SENIOR VICE PRESIDENT | A | |
| MAHONEY, DAVID MAURICE | I | SENIOR VICE PRESIDENT | A | |
| MAHONEY, DAVID MAURICE | I | SENIOR VICE PRESIDENT | A |
Registrations
Federal
IA
Feb 7, 2007 REGISTERED
Notice Filings (28)
AZ CA CT DC DE FL GA HI IL KS MA MD ME MI NC NH NJ NM NY OR PA RI SC TX VA VT WA WI
Address
450 PARK AVE, STE 1401NEW YORK, NY 10022
USA
Phone: 212-319-6755