DIRECT 401K, LLC
Legal name: DIRECT 401K
CRD #173939 SEC #801-80841 MIRAMAR BEACH, FL 866-357-4015
SEC Registered
Total AUM
--
Discretionary
--
Employees
3
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 15, 2016
- 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 |
|---|---|---|---|---|
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| MORTON, CLAIBORNE, BARKSDALE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | E | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | E | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | E | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | D | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | D | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING MEMBER | D | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING PARTNER | D | Control |
| TEAM SCM ADVISORS, INC. | DE | MANAGING PARTNER | D | Control |
| AGRAWAL, SHEFALI | I | MANAGING MEMBER | C | Control |
| AGRAWAL, SHEFALI | I | GENERAL PARTNER, COO | C | Control |
| Olivarez, Jill, Laurie | I | DIRECTOR OF OPERATIONS | A | Control |
| Olivarez, Jill, Laurie | I | DIRECTOR OF OPERATIONS | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
| TEAM SCM ADVISORS, INC. | DE | DIRECT 401K, LLC | D | Control |
Registrations
Federal
IA
Mar 15, 2016 REGISTERED
Notice Filings (2)
CA FL
Address
495 GRAND BLVD, STE 206MIRAMAR BEACH, FL 32550
United States
Phone: 866-357-4015