DAS-WFI INC.

Legal name: WINTHROP FINANCIAL, INC.

CRD #158852 SEC #801-72751 BUFFALO, NY 716-566-6540

SEC Registered

Total AUM

Discretionary

Employees

Clients

Accounts

Firm Details

Organization Type: Corporation
State of Formation: Delaware
Fiscal Year End: JUNE
Registration Date: --
Latest Filing: Jul 28, 2017
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
STAURING, DEBORAH, ANN	I	CHIEF COMPLIANCE OFFICER	NA	Control
STAURING, DEBORAH, ANN	I	CHIEF COMPLIANCE OFFICER, OWNER	NA	Control
SAUNDERS, THOMAS, JOHN	I	MANAGING MEMBER & COO	E	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
STAURING, DEBORAH, ANN	I	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	Control
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	A
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	A
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	A
BUCK, WINTHROP, LAWRENCE	I	MANAGING MEMBER	A

Registrations

Federal

Jul 28, 2017 REGISTERED

Notice Filings (10)

CA FL MI MS NH NY OH PA TN TX

Address

111 GENESEE STREET
SUITE 3800
BUFFALO, NY 14203
United States

Phone: 716-566-6540