GARDNER, UNDERWOOD & BACON LLC
CRD #152034 SEC #801-71842 LOS ANGELES, CA 310-442-1200
SEC Registered
Total AUM
--
Discretionary
--
Employees
10
Clients
--
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 13, 2010
- 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 |
|---|---|---|---|---|
| GARDNER, HENRY, LOUIS | I | PRINCIPAL | C | Control |
| SMITH, LISA, ANTOINETTE | I | CHIEF COMPLIANCE OFFICER | C | Control |
| YOUNG, MARK, THOMAS | I | PRINCIPAL | C | Control |
Registrations
Federal
IA
Sep 13, 2010 REGISTERED
Notice Filings (2)
CA IL
Address
12100 WILSHIRE BLVD.SUITE 430
LOS ANGELES, CA 90025
United States
Phone: 310-442-1200