MINTZ, STEPHEN M.
Legal name: STEPHEN M. MINTZ DBA STEPHEN M. MINTZ, FEE-ONLY FINANCIAL CONSUL
CRD #140245 SEC #801-69592 MONROE, LA 318-325-5090
SEC Registered Disclosures
Total AUM
$15.2M
Discretionary
$15.2M
Employees
1
Clients
101
Accounts
142
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- Louisiana
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 22, 2016
- 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 |
|---|---|---|---|---|
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
| MINTZ, STEPHEN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Sep 22, 2016 REGISTERED
Notice Filings (2)
LA TX
Address
1900 N. 18TH STREETSUITE 406
MONROE, LA 71201
United States
Phone: 318-325-5090