FINANCIAL ONE, INC.
CRD #168061 SEC #801-78226 BOCA RATON, FL 561-241-0000
SEC Registered
Total AUM
$20.5M
Discretionary
$20.5M
Employees
5
Clients
26
Accounts
75
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 14, 2014
- 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 |
|---|---|---|---|---|
| FLOOD, KEITH, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PRO TEM HOLDINGS, LLC | DE | MANAGER | NA | Control |
| INTERIM HOLDINGS, LLC | DE | MEMBER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SCHWARTZ, HOWARD, LESTER | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PKS HOLDINGS, LLC | DE | PRO TEM HOLDINGS, LLC | E | Control |
| PURCELL, JOHN, PETER | I | PKS HOLDINGS, LLC | C | Control |
| STAFF, MICHAEL, THEODORE | I | PKS HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Aug 14, 2014 REGISTERED
Notice Filings (1)
FL
Address
7781 NW BEACON SQUARE BLVD.SUITE 102
BOCA RATON, FL 33487
United States
Phone: 561-241-0000