SPA ETF'S INC
CRD #143936 SEC #801-67962 NEW YORK, NY 212-878-8055
SEC Registered Broker-Dealer
Total AUM
$0
Discretionary
$0
Employees
5
Clients
--
Accounts
0
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- May 17, 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 |
|---|---|---|---|---|
| DRAIN, ANTONY, PETER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DRAIN, ANTONY, PETER | I | TRUSTEE AND PRESIDENT | NA | Control |
| FREEDMAN, DANIEL, KEITH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FREEDMAN, DANIEL, KEITH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LANZA, CHRISTOPHER, CONTE | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | |
| WHITAKER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| SPA ETF INTERNATIONAL LIMITED | FE | DIRECT OWNER | E | Control |
| SPA ETF INTERNATIONAL LIMITED | FE | DIRECT OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LONDON AND CAPITAL GROUP LTD. | FE | LONDON AND CAPITAL FINANCIAL SERVICES LTD. | E | Control |
| FREEDMAN, DANIEL, KEITH | I | LONDON AND CAPITAL FINANCIAL SERVICES LTD. | C | Control |
| LEIGH, RICHARD, WARREN | I | LONDON AND CAPITAL FINANCIAL SERVICES LTD. | C | Control |
Registrations
Federal
IA
May 17, 2007 REGISTERED
Address
C/O CLIFFORD CHANCE US LLP31 WEST 52ND STREET
NEW YORK, NY 10019-6131
USA
Phone: 212-878-8055