KELMOORE INVESTMENT COMPANY, INC.
Legal name: KELMOORE INVESTMENT CO INC
CRD #22509 SEC #801-56248 PALO ALTO, CA 650-354-8170
SEC Registered Broker-Dealer
Total AUM
$320.4M
Discretionary
$320.4M
Employees
--
Clients
0
Accounts
127
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- OCTOBER
- Registration Date
- --
- Latest Filing
- Jan 27, 2007
- 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 |
|---|---|---|---|---|
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| ATKINS, ROBERT KARL | I | INVESTMENT COMMITTEE | NA | Control |
| BELL, RICHARD GEORGE | I | SENIOR EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| BELL, RICHARD GEORGE | I | SENIOR EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| BOWEN, DAVID | I | DIRECTOR | NA | |
| DAVID, BOWEN | I | DIRECTOR | NA | Control |
| DAVID, BOWEN | I | DIRECTOR | NA | Control |
| DAVID, BOWEN | I | DIRECTOR | NA | Control |
| DAVID, BOWEN | I | DIRECTOR | NA | Control |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| DEVINE, ANTOINE MAURICE | I | CHIEF COMPLIANCE OFFICER - IA AND TRUST ONLY | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| FUJIOKA, RUSSELL STAN | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HAJJAR, RICHARD G. | I | DIRECTOR | NA | |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| HEIMAN, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KELMON, MATTHEW | I | SEVP PORTFOLIO MANAGEMENT, DIRECTOR, SROP, INVESTMENT COMMITTEE | NA | Control |
| KILLILEA, THOMAS WILLIAM | I | DIRECTOR, VICE COB | NA | Control |
| KILLILEA, THOMAS WILLIAM | I | DIRECTOR, VICE COB | NA | Control |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | Control |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | Control |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | Control |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | Control |
| KING, ARCHER DUNCAN | I | DIRECTOR | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP-HEAD OF TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP, INVESTMENT COMMITTEE | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP | NA | Control |
| MARTIN, BARRINGER HAROLD | I | VP TRADING, CROP | NA | Control |
| MCCARTHY, LISA ANN | I | DIRECTOR | NA | |
| MCCARTHY, LISA ANN | I | DIRECTOR | NA | |
| MCCARTHY, LISA ANN | I | DIRECTOR | NA | Control |
| MCCARTHY, LISA ANN | I | DIRECTOR | NA | Control |
| MCCARTHY, LISA ANN | I | DIRECTOR | NA | Control |
| MONTGOMERY, CECE GREEN | I | EVP -HUMAN RESOURCES | NA | Control |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | Control |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | Control |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | Control |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | Control |
| MOORE, DAVID RICHARD | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM | I | DIRECTOR | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | CHIEF COMPLIANCE OFFICER OF BD, EVP COMPLIANCE, CORP SECRETARY,CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP ADMINISTRATION, COMPLIANCE, CORP SEC | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, BD-CCO, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP ADMINISTRATION, COMPLIANCE, CORP SEC | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP ADMINISTRATION, COMPLIANCE, CORP SEC | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, CORP SECRETARY, CROP | NA | Control |
| MOORE, NORMAN HALLAM JR | I | EVP COMPLIANCE, CORP SECRETARY, CROP | NA | Control |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | Control |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | Control |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | Control |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | Control |
| RODDE, STEPHEN SCOTT | I | DIRECTOR | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| SCHILFFARTH, RICHARD ALLEN JR | I | SEVP- NATIONAL SALES MANAGER | NA | Control |
| STANSBERY, EUGENE IRA | I | SEVP-NATIONAL RETAIL SALES MANAGER | NA | |
| STANSBERY, EUGENE IRA | I | SEVP-NATIONAL RETAIL SALES MANAGER | NA | |
| STANSBERY, EUGENE IRA | I | SEVP-NATIONAL RETAIL SALES MANAGER | NA | |
| STANSBERY, EUGENE IRA | I | SEVP-NATIONAL SALES MANAGER | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| VANDERWEIL, LISA ANN | I | DIRECTOR | NA | |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS/MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WENDOLL, TAMARA BETH | I | SEVP OPERATIONS | NA | Control |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CHIEF COMPLIANCE OFFICER OF ADVISOR/TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CHIEF COMPLIANCE OFFICER OF ADVISOR/TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CCO ADVISOR AND TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CHIEF COMPLIANCE OFFICER OF ADVISOR/TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CHIEF COMPLIANCE OFFICER OF ADVISOR/TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL/CHIEF COMPLIANCE OFFICER OF ADVISOR/TRUST | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| WOOLEDGE, CATHERINE SWARTLEY | I | CHIEF LEGAL COUNSEL | NA | |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | CFO-SEVP-TREASURER-DIRECTOR | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | CFO-SEVP-TREASURER-DIRECTOR | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| YOUNG, SHAWN KELMON | I | SEVP-TREASURER-DIRECTOR-CFO-FINOP | NA | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INVESTMENT COMMITTEE | C | Control |
| KELMON, RALPH MICHAEL JR | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | C | Control |
| KELMON, RALPH MICHAEL JR | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | C | Control |
| KELMON, RALPH MICHAEL JR | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CFO | C | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INV COMMITTEE, HEAD OF SALES | B | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INV COMMITTEE, HEAD OF SALES | B | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INV COMMITTEE, HEAD OF SALES | B | Control |
| KELMON, RALPH MICHAEL | I | CHAIRMAN OF THE BOARD, CEO, INV COMMITTEE, HEAD OF SALES | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/PRESIDENT/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/PRESIDENT/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/PRESIDENT/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR, SEVP/INSTITUTIONAL | B | Control |
| ROMANCHAK, MICHAEL | I | DIRECTOR | A | Control |
Registrations
Federal
IA
Jan 27, 2007 REGISTERED
Notice Filings (51)
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