CONNING & COMPANY
CRD #1512 SEC #801-4699 HARTFORD, CT 860-527-1131
SEC Registered Broker-Dealer
Total AUM
$174.8M
Discretionary
$174.8M
Employees
51
Clients
--
Accounts
5
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 3, 2002
- 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 |
|---|---|---|---|---|
| BAILY, JOHN | I | DIRECTOR | NA | Control |
| BAILY, JOHN | I | DIRECTOR | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ASSISTANT GENERAL COUNSEL | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| BYRNE, THOMAS ARTHUR | I | CHIEF EXECUTIVE OFFICE & DIRECTOR | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CHRISTOPH, SUSAN CATHERINE | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| DUWAN, JOSEPH CHRISTOPHER | I | DIRECTOR | NA | Control |
| DUWAN, JOSEPH CHRISTOPHER | I | DIRECTOR | NA | Control |
| DUWAN, JOSEPH CHRISTOPHER | I | DIRECTOR | NA | Control |
| GOULEKAS, PAUL STEPHEN | I | DIRECTOR | NA | Control |
| GOULEKAS, PAUL STEPHEN | I | DIRECTOR | NA | Control |
| GOULEKAS, PAUL STEPHEN | I | DIRECTOR | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| KOPSKY, PAUL W JR | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| PIVACEK, STEPHEN ROBERT | I | DIRECTOR | NA | Control |
| PIVACEK, STEPHEN ROBERT | I | DIRECTOR | NA | Control |
| PIVACEK, STEPHEN ROBERT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| RANSOM, GARY KENT | I | DIRECTOR | NA | Control |
| SWEENEY, JOHN CHARLES | I | DIRECTOR | NA | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
| CONNING INC. | DE | 100% SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| CONNING CORPORATION | DE | CONNING INC. | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING CORPORATION | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING COMPANY | E | Control |
Registrations
Federal
IA
Apr 3, 2002 REGISTERED
Notice Filings (1)
CT
Address
CITYPLACE II185 ASYLUM STREET
HARTFORD, CT 06103-4105
USA
Phone: 860-527-1131