BATTERY EAST GROUP, LLC
Legal name: SCENIC ADVISEMENT WEALTH
CRD #169716 SEC #801-110830 SAN FRANCISCO, CA 415-528-7301
SEC Registered Broker-Dealer
Total AUM
$9.4M
Discretionary
$9.4M
Employees
10
Clients
1
Accounts
4
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 13, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| LAM, HOLLY HAO-MAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAM, HOLLY HAO-MAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAM, HOLLY HAO-MAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEUNG, SHIRLEY JANE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEUNG, SHIRLEY JANE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEUNG, SHIRLEY JANE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| TUCKER, CLARK BOMAR | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| TUCKER, CLARK BOMAR | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| TUCKER, CLARK BOMAR | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| TUCKER, CLARK BOMAR | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| TUCKER, CLARK BOMAR | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| COHN, BARRETT HOWARD | I | MANGING DIRECTOR, CEO | D | Control |
| COHN, BARRETT HOWARD | I | MANGING DIRECTOR, CEO | D | Control |
| COHN, BARRETT HOWARD | I | MANAGING DIRECTOR, CEO | D | Control |
| COHN, BARRETT HOWARD | I | MANAGING DIRECTOR, CEO | D | Control |
| COHN, BARRETT HOWARD | I | MANAGING DIRECTOR, CEO | D | Control |
| SOBEL, MICHAEL PHILIP | I | CCO | D | Control |
| SOBEL, MICHAEL PHILIP | I | CCO | D | Control |
| SOBEL, MICHAEL PHILIP | I | MANAGING DIRECTOR, COO | D | Control |
| SOBEL, MICHAEL PHILIP | I | MANAGING DIRECTOR, COO | D | Control |
| SOBEL, MICHAEL PHILIP | I | MANAGING DIRECTOR, COO | D | Control |
| NIEDERAUER, DUNCAN LEIGH | I | NON-EXECUTIVE CHAIRMAN, STRATEGIC ADVISOR | A | |
| NIEDERAUER, DUNCAN LEIGH | I | NON-EXECUTIVE CHAIRMAN, STRATEGIC ADVISOR | A | |
| NIEDERAUER, DUNCAN LEIGH | I | NON-EXECUTIVE CHAIRMAN, STRATEGIC ADVISOR | A |
Registrations
Federal
IA
Jan 13, 2018 REGISTERED
Notice Filings (16)
AZ CA CO CT DE FL GA IL MA MD NJ NY OR PA TX WA
Address
915 BATTERY STREET, 1ST FLOORSAN FRANCISCO, CA 94111
United States
Phone: 415-528-7301