CARLIN ASSET MANAGEMENT, LLC
CRD #138902 SEC #801-67052 NEW YORK, NY 212-905-5700
SEC Registered
Total AUM
--
Discretionary
--
Employees
5
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 11, 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 |
|---|---|---|---|---|
| FROMMER, JEREMY, PHILLIP | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FROMMER, JEREMY, PHILLIP | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FROMMER, JEREMY, PHILLIP | I | CEO | NA | Control |
| FROMMER, JEREMY, PHILLIP | I | CEO | NA | Control |
| FROMMER, JEREMY, PHILLIP | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KORNFELD, LYNDA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KORNFELD, LYNDA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KORNFELD, LYNDA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KORNFELD, LYNDA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KORNFELD, LYNDA, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NEMESURE, STUART, MITCHELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| NEMESURE, STUART, MITCHELL | I | CHIEF COMPLIANCE OFFICER | NA | |
| SHAH, SACHIN, A | I | CHIEF OPERATING OFFICER | NA | Control |
| SHAH, SACHIN, A | I | CHIEF OPERATING OFFICER | NA | Control |
| SHAH, SACHIN, A | I | PRESIDENT | NA | Control |
| SHAH, SACHIN, A | I | PRESIDENT | NA | Control |
| SHAH, SACHIN, A | I | PRESIDENT | NA | |
| SHAH, SACHIN, A | I | CHIEF OPERATING OFFICER | NA | Control |
| SHAH, SACHIN, A | I | CHIEF OPERATING OFFICER | NA | Control |
| SHAH, SACHIN, A | I | CHIEF OPERATING OFFICER | NA | Control |
| SHAH, SACHIN, A | I | PRESIDENT | NA | |
| SHAH, SACHIN, A | I | PRESIDENT | NA | |
| VIOLA, DANIEL, GEORGE | I | GENERAL COUNSEL/MANAGING DIRECTOR | NA | |
| VIOLA, DANIEL, GEORGE | I | GENERAL COUNSEL/MANAGING DIRECTOR | NA | |
| VIOLA, DANIEL, GEORGE | I | GENERAL COUNSEL/MANAGING DIRECTOR | NA | |
| VIOLA, DANIEL, GEORGE | I | GENERAL COUNSEL/MANAGING DIRECTOR | NA | |
| CARLIN GROUP LLC | DE | BROKER DEALER | E | |
| CARLIN GROUP LLC | DE | BROKER DEALER | E | |
| CARLIN GROUP LLC | DE | BROKER DEALER | E | |
| CARLIN GROUP LLC | DE | MEMBER | E | Control |
| CARLIN GROUP LLC | DE | BROKER DEALER | E | |
| CARLIN GROUP LLC | DE | BROKER DEALER | E | |
| RBC USA HOLDCO CORP. | DE | OWNER | E | Control |
| RBC USA HOLDCO CORPORATION | DE | OWNER | E | Control |
| RBC USA HOLDCO CORPORATION | DE | OWNER | E | Control |
| RBC USA HOLDCO CORPORATION | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| JSA, LLC. | DE | CARLIN GROUP LLC | F | |
| JSA, LLC. | DE | CARLIN GROUP LLC | F | |
| NEXTGEN TRADING, LLC | DE | CARLIN GROUP LLC | F | |
| NEXTGEN TRADING, LLC | DE | CARLIN GROUP LLC | F | |
| RBC HOLDINGS (USA) INC. | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC HOLDINGS (USA) INC. | DE | RBC USA HOLDCO CORPORATION | E | Control |
| RBC HOLDINGS (USA) INC. | DE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK HOLDING INC. | FE | RBC HOLDINGS (USA) INC. | E | Control |
| ROYAL BANK HOLDING INC. | FE | RBC HOLDINGS (USA) INC. | E | Control |
| ROYAL BANK HOLDING INC. | FE | RBC HOLDINGS (USA) INC. | E | Control |
| ROYAL BANK OF CANADA | FE | ROYAL BANK HOLDING INC. | E | Control |
| ROYAL BANK OF CANADA | FE | ROYAL BANK HOLDING INC. | E | Control |
| ROYAL BANK OF CANADA | FE | ROYAL BANK HOLDING INC. | E | Control |
| CARLIN OWNERS CORP | DE | CARLIN GROUP LLC | D | Control |
| CARLIN OWNERS CORP | DE | CARLIN GROUP LLC | D | Control |
| CARLIN OWNERS CORP | DE | CARLIN GROUP LLC | D | Control |
| FROMMER, JEREMY, PHILLIP | I | CARLIN GROUP LLC | D | Control |
| FROMMER, JEREMY, PHILLIP | I | CARLIN GROUP LLC | D | Control |
| FROMMER, JEREMY, PHILLIP | I | CARLIN GROUP LLC | D | Control |
| SHEAR, RONALD, HENRY | I | CARLIN OWNERS CORP | D | Control |
| SHEAR, RONALD, HENRY | I | CARLIN OWNERS CORP | D | Control |
| SHEAR, RONALD, HENRY | I | CARLIN OWNERS CORP | C | Control |
Registrations
Federal
IA
Jan 11, 2006 REGISTERED
Notice Filings (2)
NJ NY
Address
666 THIRD AVENUE8TH FLOOR
NEW YORK, NY 10017
USA
Phone: 212-905-5700