EXCELCIA ADVISORY SERVICES, LTD
CRD #137808 SEC #801-65015 SANTA CLARA, CA 408-261-3300
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
5
Clients
0
Accounts
0
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 3, 2006
- 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 |
|---|---|---|---|---|
| HAN, JOHN, QUOC | I | VICE PRESIDENT OPERATIONS, PORTFOLIO MANAGER | NA | Control |
| HOWIE, ERIC, CARLIN | I | PRESIDENT, PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIN, ROCKY | I | VICE PRESIDENT INVESTMENTS, PORTFOLIO MANAGER | NA | Control |
| EXCELCIA FINANCIAL GROUP | DE | OWNER | E | Control |
| HOWIE, ERIC, CARLIN | I | PRESIDENT, PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER | D | Control |
| HOWIE, ERIC, CARLIN | I | PRESIDENT, PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER | D | Control |
| HAN, JOHN, QUOC | I | VICE PRESIDENT OPERATIONS, PORTFOLIO MANAGER | B | Control |
| HAN, JOHN, QUOC | I | VICE PRESIDENT OPERATIONS, PORTFOLIO MANAGER | B | Control |
| LIN, ROCKY | I | VICE PRESIDENT INVESTMENTS, PORTFOLIO MANAGER | B | Control |
| LIN, ROCKY | I | VICE PRESIDENT INVESTMENTS, PORTFOLIO MANAGER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOWIE, ERIC, CARLIN | I | EXCELCIA FINANCIAL GROUP | C | Control |
| WILLIAMS - HOWIE, ALEXI, SARAH JANE | I | EXCELCIA FINANCIAL GROUP | C | Control |
Registrations
Federal
IA
Jan 3, 2006 REGISTERED
Notice Filings (1)
CA
Address
4675 STEVENS CREEK BOULEVARDSUITE 110
SANTA CLARA, CA 95051
USA
Phone: 408-261-3300