C.E. UNTERBERG, TOWBIN LLC
CRD #24790 SEC #801-57121 NEW YORK, NY 212-389-8000
SEC Registered Broker-Dealer
Total AUM
$302.2M
Discretionary
$283.4M
Employees
10
Clients
0
Accounts
98
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 30, 2005
- 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 |
|---|---|---|---|---|
| ABRAMS, GENE ROBERT | I | DIRECTOR OF COMPLIANCE | NA | |
| ABRAMS, GENE ROBERT | I | DIRECTOR OF COMPLIANCE | NA | |
| ABRAMS, GENE ROBERT | I | DIRECTOR OF COMPLIANCE | NA | |
| ABULARRAGE, JOHN JOSEPH | I | CEO | NA | Control |
| ABULARRAGE, JOHN JOSEPH | I | CEO | NA | Control |
| ABULARRAGE, JOHN JOSEPH | I | CEO | NA | Control |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ADAM RITZER INC. | DE | GENERAL PARTNER | NA | |
| ADLER, STEPHEN JOSEPH | I | SROP | NA | |
| ADLER, STEPHEN JOSEPH | I | SROP | NA | |
| ADLER, STEPHEN JOSEPH | I | SROP | NA | |
| ALEX P. BERNSTEIN, INC. | DE | GENERAL PARTNER | NA | |
| ALEX P. BERNSTEIN, INC. | DE | GENERAL PARTNER | NA | |
| ALEX P. BERNSTEIN, INC. | DE | GENERAL PARTNER | NA | |
| ANDREW WALDECK CORP. | DE | GENERAL PARTNER | NA | |
| ANDREW WALDECK CORP. | DE | GENERAL PARTNER | NA | |
| ANDREW WALDECK CORP. | DE | GENERAL PARTNER | NA | |
| ARNO, ANDREW | I | CHAIRMAN | NA | Control |
| ARNO, ANDREW | I | CHAIRMAN | NA | Control |
| ARNO, ANDREW | I | CHAIRMAN | NA | Control |
| ARNO, ANDREW | I | CHAIRMAN | NA | Control |
| ARNO, ANDREW | I | HEAD OF CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| ARNO, ANDREW | I | HEAD OF CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| ARNO, ANDREW | I | CHAIRMAN | NA | Control |
| ARNO, ANDREW | I | HEAD OF CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| ASLN INC. | DE | GENERAL PARTNER | NA | |
| ASLN INC. | DE | GENERAL PARTNER | NA | |
| ASLN INC. | DE | GENERAL PARTNER | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| AUGERI, SALVATORE S JR. | I | CROP | NA | |
| AUGERI, SALVATORE S JR. | I | CROP | NA | |
| AUGERI, SALVATORE S JR. | I | ROSFP | NA | |
| BARRETT, DAVID MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID MICHAEL | I | CFO | NA | |
| BARRETT, DAVID MICHAEL | I | CFO | NA | |
| BARRETT, DAVID MICHAEL | I | CFO | NA | |
| BARRETT, DAVID MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID MICHAEL | I | CFO | NA | |
| BARRETT, DAVID MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID MICHAEL | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| BARRETT, DAVID MICHAEL | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| BARRETT, DAVID MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | |
| BARRETT, DAVID MICHAEL | I | CFO | NA | |
| BARRETT, DAVID MICHAEL | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| BARRETT, DAVID MICHAEL | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| BERGER, ANDREW LEON | I | SENIOR MANAGING DIRECTOR, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BERGER, ANDREW LEON | I | SENIOR MANAGING DIRECTOR, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BERGER, ANDREW LEON | I | SENIOR MANAGING DIRECTOR, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BOB THOMPSON CORPORATION | DE | GENERAL PARTNER | NA | |
| BOB THOMPSON CORPORATION | DE | GENERAL PARTNER | NA | |
| BOB THOMPSON CORPORATION | DE | GENERAL PARTNER | NA | |
| BORRELLI, ALAN PASQUALE | I | CHIEF FINANCIAL OFFICER | NA | |
| BORRELLI, ALAN PASQUALE | I | CHIEF FINANCIAL OFFICER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRANIGAN HOLDINGS, LTD. | DE | GENERAL PARTNER | NA | |
| BRIAN GOLDMAN, INC. | DE | GENERAL PARTNER | NA | |
| BRIAN L. FINNERTY INC. | DE | GENERAL PARTNER | NA | |
| BRIAN L. FINNERTY INC. | DE | GENERAL PARTNER | NA | |
| BRIAN L. FINNERTY INC. | DE | GENERAL PARTNER | NA | |
| CHOY, MARTHA ADDAMS | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVID BOUCHER CORP. | DE | GENERAL PARTNER | NA | |
| DAVID BOUCHER CORP. | DE | GENERAL PARTNER | NA | |
| DAVID BOUCHER INC. | DE | GENERAL PARTNER | NA | |
| DC II | DE | GENERAL PARTNER | NA | |
| DC II | DE | GENERAL PARTNER | NA | |
| DC II | DE | GENERAL PARTNER | NA | |
| DILLON, DONALD JOSEPH | I | HEAD OF TRADING | NA | |
| DILLON, DONALD JOSEPH | I | HEAD OF TRADING | NA | |
| DILLON, DONALD JOSEPH | I | HEAD OF TRADING | NA | |
| DUGGAN, THOMAS EDWARD | I | GENERAL COUNSEL | NA | |
| DUGGAN, THOMAS EDWARD | I | GENERAL COUNSEL | NA | |
| DUGGAN, THOMAS EDWARD | I | GENERAL COUNSEL | NA | |
| ECCLEFIELD, SIMON ROBERT | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | |
| ECCLEFIELD, SIMON ROBERT | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| ECKHARDT CORP. | DE | GENERAL PARTNER | NA | |
| FAY, JAMES P | I | HEAD OF INSTITUTIONAL SALES | NA | |
| FAY, JAMES P | I | HEAD OF INSTITUTIONAL SALES | NA | |
| FAY, JAMES P | I | HEAD OF INSTITUTIONAL SALES | NA | |
| FAY, JAMES P | I | HEAD OF INSTITUTIONAL SALES | NA | |
| FAY, JAMES P | I | HEAD OF INSTITUTIONAL SALES | NA | |
| FICK, PETER WILLIAM | I | CHIEF COMPLIANCE OFFICER & CROP | NA | |
| FICK, PETER WILLIAM | I | CHIEF COMPLIANCE OFFICER & CROP | NA | |
| FICK, PETER WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | |
| FLORENCE KIMM CORP. | DE | GENERAL PARTNER | NA | |
| FLORENCE KIMM CORP. | DE | GENERAL PARTNER | NA | |
| FLORENCE KIMM CORP. | DE | GENERAL PARTNER | NA | |
| HALIKIAS, JASON DEMETIROUS | I | SROP | NA | |
| HALIKIAS, JASON DEMETIROUS | I | SROP | NA | |
| HORVATH, JAMES STEPHEN | I | HEAD OF INSTITUTIONAL SALES | NA | Control |
| HORVATH, JAMES STEPHEN | I | HEAD OF INSTITUTIONAL SALES | NA | Control |
| JACANDMAQ INC., LTD | DE | GENERAL PARTNER | NA | |
| JACANDMAQ INC., LTD | DE | GENERAL PARTNER | NA | |
| JACANDMAQ INC., LTD | DE | GENERAL PARTNER | NA | |
| JAMES D. POYNER JR. INC. | DE | GENERAL PARTNER | NA | |
| JAMES D. POYNER JR. INC. | DE | GENERAL PARTNER | NA | |
| JAMES D. POYNER JR. INC. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES SINGER CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JAMES T. WHIPPLE CORP. | DE | GENERAL PARTNER | NA | |
| JANE DRAGONE INC. | DE | GENERAL PARTNER | NA | |
| JANE DRAGONE LTD. | DE | GENERAL PARTNER | NA | |
| JANE DRAGONE LTD. | DE | GENERAL PARTNER | NA | |
| JOHN CRONIN, INC. | DE | GENERAL PARTNER | NA | |
| JOHN CRONIN, INC. | DE | GENERAL PARTNER | NA | |
| JOHN CRONIN, INC. | DE | GENERAL PARTNER | NA | |
| JOLEX INC. | DE | GENRAL PARTNER | NA | |
| JOLEX INC. | DE | GENRAL PARTNER | NA | |
| KLEIMAN, HARLAN PHILLIP | I | VICE CHAIRMAN , EXECUTIVE MEMBER | NA | Control |
| KLEIMAN, HARLAN PHILLIP | I | VICE CHAIRMAN , EXECUTIVE MEMBER | NA | Control |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| KODIAK LLC | DE | GENERAL PARTNER | NA | |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | NA | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| LYNCH, MARTIN MR | I | CFO | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| M. O'CONNOR INC. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARK LEVY LTD. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARRUS CORP. | DE | GENERAL PARTNER | NA | |
| MARTIN PYYKKONEN, INC. | DE | GENERAL PARTNER | NA | |
| MARTIN PYYKKONEN, INC. | DE | GENERAL PARTNER | NA | |
| MARTIN PYYKKONEN, INC. | DE | GENERAL PARTNER | NA | |
| MATLUCK, ROBERT MICHAEL | I | HEAD OF ADMINISTRATION, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| MATLUCK, ROBERT MICHAEL | I | HEAD OF ADMINISTRATION, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| MATLUCK, ROBERT MICHAEL | I | CHIEF OPERATIONG OFFICER | NA | |
| MATLUCK, ROBERT MICHAEL | I | CHIEF OPERATING OFFICER | NA | |
| MATLUCK, ROBERT MICHAEL | I | CHIEF OPERATING OFFICER | NA | |
| MATLUCK, ROBERT MICHAEL | I | HEAD OF ADMINISTRATION, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCILREE, JAMES PATRICK | I | DIRECTOR OF RESEARCH | NA | |
| MCLOUGHLIN, SHAWN DAMIEN | I | CEO | NA | Control |
| MCLOUGHLIN, SHAWN DAMIEN | I | CEO | NA | Control |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| MITCHELL MEISLER INC. | DE | GENERAL PARTNER | NA | |
| MOLLOY, SEAN | I | VICE PRESIDENT & SROP | NA | |
| MOLLOY, SEAN | I | VICE PRESIDENT | NA | |
| MOSKOWITZ, JEFFREY CRAIG | I | HEAD OF SALES & TRADING | NA | Control |
| QUESTEL, INC. | DE | GENERAL PARTNER | NA | |
| QUESTEL, INC. | DE | GENERAL PARTNER | NA | |
| QUESTEL, INC. | DE | GENERAL PARTNER | NA | |
| RABINOWITZ, LEWIS | I | MUNI PRINCIPAL | NA | |
| RABINOWITZ, LEWIS | I | MUNI PRINCIPAL | NA | |
| RABINOWITZ, LEWIS | I | MUNI PRINCIPAL | NA | |
| RABINOWITZ, LEWIS | I | SROP | NA | |
| RABINOWITZ, LEWIS | I | SROP | NA | |
| RABINOWITZ, LEWIS | I | SROP | NA | |
| RABINOWITZ, LEWIS | I | MUNI PRINCIPAL | NA | |
| RD LONG CORP. | DE | GENERAL PARTNER | NA | |
| RD LONG CORP. | DE | GENERAL PARTNER | NA | |
| RD LONG CORP. | DE | GENERAL PARTNER | NA | |
| REDA, JOSEPH | I | HEAD OF INSTITUTIONAL SALES | NA | |
| REDA, JOSEPH | I | HEAD OF INSTITUTIONAL SALES | NA | |
| REDA, JOSEPH | I | HEAD OF INSTITUTIONAL SALES | NA | |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| ROBINS, JULIAN JOHN | I | SUPERVISOR OF INTERNATIONAL AGENCY BUSINESS | NA | Control |
| SATLOFF, JAMES ELIOT | I | CEO & PRESIDENT | NA | Control |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER & CEO | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER & CEO | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER & CEO | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| SORRENTINO, RICHARD ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| STEPHEN ADLER INC. | DE | GENERAL PARTNER | NA | |
| SULFARO, MICHAEL CARL | I | DIRECTOR OF COMPLIANCE & CROP | NA | |
| SULFARO, MICHAEL CARL | I | DIRECTOR OF COMPLIANCE & CROP | NA | |
| SULFARO, MICHAEL CARL | I | DIRECTOR OF COMPLIANCE | NA | |
| SULFARO, MICHAEL CARL | I | DIRECTOR OF COMPLIANCE & CROP | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | |
| SUTHERLAND, HOWARD RAMSEY | I | CHIEF LEGAL OFFICER | NA | Control |
| SYDNEY MURPHY CORP. | DE | GENERAL PARTNER | NA | |
| SYDNEY MURPHY LTD. | DE | GENERAL PARTNER | NA | |
| SYDNEY MURPHY LTD. | DE | GENERAL PARTNER | NA | |
| T.E. DUGGAN CORP. | DE | GENERAL PARTNER | NA | |
| T.O. RUDD CORPORATION | DE | GENERAL PARTNER | NA | |
| T.O. RUDD CORPORATION | DE | GENERAL PARTNER | NA | |
| T.O. RUDD CORPORATION | DE | GENERAL PARTNER | NA | |
| THE MOORHEAD GROUP INC. | DE | GENERAL PARTNER | NA | |
| THE MOORHEAD GROUP INC. | DE | GENERAL PARTNER | NA | |
| THE MOORHEAD GROUP INC. | DE | GENERAL PARTNER | NA | |
| THOMAS DUGGAN INC. | DE | GENERAL PARTNER | NA | |
| THOMAS DUGGAN INC. | DE | GENERAL PARTNER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| THOMPSON, ROBERT LEWIS | I | CHIEF FINANCIAL OFFICER | NA | |
| UNTERBERG, THOMAS ISRAEL | I | MUNI PRINCIPAL | NA | Control |
| UNTERBERG, THOMAS ISRAEL | I | MUNI PRINCIPAL | NA | Control |
| WGD INC. | DE | GENERAL PARTNER | NA | |
| WHALING, MARK DRISCOLL | I | HEAD OF SALES | NA | |
| WHALING, MARK DRISCOLL | I | HEAD OF SALES | NA | |
| WHALING, MARK DRISCOLL | I | HEAD OF SALES | NA | |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| C.E. UNTERBERG, TOWBIN HOLDINGS , INC. | DE | SOLE MEMBER | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| STEWART, COLLINS, INC | FE | HOLDING COMPANY | E | Control |
| C.E. UNTERBERG INC. | DE | MEMBER | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | PARTNER & MUNI PRINCIPAL | C | Control |
| C.E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| C.E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| C.E. UNTERBERG INC. | DE | GENERAL PARTNER | B | Control |
| LAVITT MANAGEMENT INC. | DE | MEMBER | B | |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN | B | Control |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN | B | Control |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN, & CEO, PRESIDENT,EXECUTIVE COMMITTEE MEMBER | B | Control |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN, & CEO, PRESIDENT,EXECUTIVE COMMITTEE MEMBER | B | Control |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN, EXECUTIVE COMMITTEE MEMBER | B | Control |
| UNTERBERG, THOMAS ISRAEL | I | CHAIRMAN, & CEO, EXECUTIVE COMMITTEE MEMBER | B | Control |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | A | |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | A | |
| ANDREW ARNO INC. | DE | GENERAL PARTNER | A | |
| ARNO, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| ARNO, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| ARNO, ANDREW | I | CO-CHIEF EXECUTIVE OFFICER, EXECUTIVE COMMITTEE MEMBER | A | Control |
| ARNO, ANDREW INC. | DE | MEMBER | A | |
| ARTBIN INC. | DE | GENERAL PARTNER | A | Control |
| ARTBIN INC. | DE | GENERAL PARTNER | A | Control |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| JEFFREY C. MOSKOWITZ LTD. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| LAVITT MANAGEMENT INC. | DE | GENERAL PARTNER | A | |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | A | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | A | Control |
| LAVITT, MEL STUART | I | VICE CHAIRMAN | A | Control |
| MATLUCK, ROBERT MICHAEL | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| MATLUCK, ROBERT MICHAEL | I | CO-CHIEF EXECUTIVE OFFICER | A | Control |
| MATLUCK, ROBERT MICHAEL | I | CO-CHIEF EXECUTIVE OFFICER, EXECUTIVE COMMITTEE MEMBER | A | Control |
| MOSKOWITZ, JEFFREY C. LTD | DE | MEMBER | A | |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| OL TAWES INC. | DE | GENERAL PARTNER | A | |
| OL TAWES INC. | DE | MEMBER | A | |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | A | Control |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | A | Control |
| ROBERT M. MATLUCK INC. | DE | GENERAL PARTNER | A | Control |
| TOWBIN, ABRAHAM ROBERT | I | CO-CHAIRMAN | A | Control |
| TOWBIN, ABRAHAM ROBERT | I | CO-CHAIRMAN | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADLER, STEPHEN JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ADLER, STEPHEN JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ADLER, STEPHEN JOSEPH | I | STEPHEN ADLER INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| ARNO, ANDREW | I | ANDREW ARNO INC. | E | Control |
| BERLIN, JORDAN STUART | I | DC II | E | Control |
| BERLIN, JORDAN STUART | I | DC II | E | Control |
| BERLIN, JORDAN STUART | I | DC II | E | Control |
| BERNSTEIN, ALEXANDER PAUL | I | ALEX P. BERNSTEIN, INC. | E | Control |
| BERNSTEIN, ALEXANDER PAUL | I | ALEX P. BERNSTEIN, INC. | E | Control |
| BERNSTEIN, ALEXANDER PAUL | I | ALEX P. BERNSTEIN, INC. | E | Control |
| BLUM, ANDREW MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BLUM, ANDREW MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BLUM, ANDREW MAXIMILLIAN | I | KODIAK LLC | E | Control |
| BOUCHER, DAVID FARRELL | I | DAVID BOUCHER CORP. | E | |
| BOUCHER, DAVID FARRELL | I | DAVID BOUCHER CORP. | E | |
| BOUCHER, DAVID FARRELL | I | DAVID BOUCHER CORP. | E | |
| BRANIGAN, MARK CHRISTOPHER | I | BRANIGAN HOLDINGS, LTD. | E | Control |
| BRANIGAN, MARK CHRISTOPHER | I | BRANIGAN HOLDINGS, LTD. | E | Control |
| BRANIGAN, MARK CHRISTOPHER | I | BRANIGAN HOLDINGS, LTD. | E | Control |
| CRONIN, JOHN RAYMOND | I | JOHN CRONIN INC. | E | Control |
| CRONIN, JOHN RAYMOND | I | JOHN CRONIN INC. | E | Control |
| CRONIN, JOHN RAYMOND | I | JOHN CRONIN INC. | E | Control |
| DERING, WILIAM GARRETT JR | I | WGD INC. | E | Control |
| DRAGONE, JANE ELIZABETH | I | JANE DRAGONE LTD. | E | Control |
| DRAGONE, JANE ELIZABETH | I | JANE DRAGONE LTD. | E | Control |
| DRAGONE, JANE ELIZABETH | I | JANE DRAGONE LTD. | E | Control |
| DUGGAN, THOMAS EDWARD | I | THOMAS DUGGAN INC. | E | Control |
| DUGGAN, THOMAS EDWARD | I | THOMAS DUGGAN INC. | E | Control |
| DUGGAN, THOMAS EDWARD | I | THOMAS DUGGAN INC. | E | Control |
| ECKHARDT, CHARLES COLE | I | ECKHARDT CORP. | E | Control |
| ECKHARDT, CHARLES COLE | I | ECKHARDT CORP. | E | Control |
| ECKHARDT, CHARLES COLE | I | ECKHARDT CORP. | E | Control |
| FINNERTY, BRIAN LEONARD | I | BRIAN L. FINNERTY INC. | E | Control |
| FINNERTY, BRIAN LEONARD | I | BRIAN L. FINNERTY INC. | E | Control |
| FINNERTY, BRIAN LEONARD | I | BRIAN L. FINNERTY INC. | E | Control |
| FRANKFORT, ADAM SAUL | I | ASLN INC. | E | Control |
| FRANKFORT, ADAM SAUL | I | ASLN INC. | E | Control |
| FRANKFORT, ADAM SAUL | I | ASLN INC. | E | Control |
| GARVEY, THERESA MARIE | I | QUESTEL, INC. | E | Control |
| GARVEY, THERESA MARIE | I | QUESTEL, INC. | E | Control |
| GARVEY, THERESA MARIE | I | QUESTEL, INC. | E | Control |
| GOLDMAN, BRIAN DAVID | I | BRIAN GOLDMAN, INC. | E | Control |
| KIMM, FLORENCE YOUNG | I | FLORENCE KIMM CORP. | E | Control |
| KIMM, FLORENCE YOUNG | I | FLORENCE KIMM CORP. | E | Control |
| KIMM, FLORENCE YOUNG | I | FLORENCE KIMM CORP. | E | Control |
| LAVITT, MEL STUART | I | LAVITT MANAGEMENT INC. | E | Control |
| LAVITT, MEL STUART | I | LAVITT MANAGEMENT INC. | E | Control |
| LAVITT, MEL STUART | I | LAVITT MANAGEMENT INC. | E | Control |
| LAVITT, MEL STUART | I | LAVITT MANAGEMENT INC. | E | Control |
| LEVY, MARK LEWIS | I | MARK LEVY LTD. | E | Control |
| LEVY, MARK LEWIS | I | MARK LEVY LTD. | E | Control |
| LEVY, MARK LEWIS | I | MARK LEVY LTD. | E | Control |
| LONG, ROBERT DOUGLAS | I | RD LONG CORP. | E | Control |
| LONG, ROBERT DOUGLAS | I | RD LONG CORP. | E | Control |
| LONG, ROBERT DOUGLAS | I | RD LONG CORP. | E | Control |
| MARRUS, MICHAEL EDWIN | I | MARRUS CORP. | E | Control |
| MARRUS, MICHAEL EDWIN | I | MARRUS CORP. | E | Control |
| MARRUS, MICHAEL EDWIN | I | MARRUS CORP. | E | Control |
| MATLUCK, ROBERT MICHAEL | I | ROBERT M. MATLUCK INC. | E | Control |
| MATLUCK, ROBERT MICHAEL | I | ROBERT M. MATLUCK INC. | E | Control |
| MATLUCK, ROBERT MICHAEL | I | ROBERT M. MATLUCK INC. | E | Control |
| MEISLER, MITCHELL ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MEISLER, MITCHELL ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MEISLER, MITCHELL ROSS | I | MITCHELL MEISLER INC. | E | Control |
| MOORHEAD, JOHN UPSHUR II | I | THE MOORHEAD GROUP INC. | E | Control |
| MOORHEAD, JOHN UPSHUR II | I | THE MOORHEAD GROUP INC. | E | Control |
| MOORHEAD, JOHN UPSHUR II | I | THE MOORHEAD GROUP INC. | E | Control |
| MOSKOWITZ, JEFFREY CRAIG | I | JEFFREY C. MOSKOWITZ LTD. | E | Control |
| MOSKOWITZ, JEFFREY CRAIG | I | JEFFREY C. MOSKOWITZ LTD. | E | Control |
| MOSKOWITZ, JEFFREY CRAIG | I | JEFFREY C. MOSKOWITZ LTD. | E | Control |
| MOSKOWITZ, JEFFREY CRAIG | I | JEFFREY C. MOSKOWITZ LTD. | E | Control |
| MURPHY, SUZANNE ELIZABETH | I | SYDNEY MURPHY LTD. | E | Control |
| MURPHY, SUZANNE ELIZABETH | I | SYDNEY MURPHY LTD. | E | Control |
| MURPHY, SUZANNE ELIZABETH | I | SYDNEY MURPHY LTD. | E | Control |
| OCONNOR, MICHELLE PAULA | I | M. O'CONNOR INC. | E | Control |
| OCONNOR, MICHELLE PAULA | I | M. O'CONNOR INC. | E | Control |
| OCONNOR, MICHELLE PAULA | I | M. O'CONNOR INC. | E | Control |
| ONEILL, THEODORE RUDD | I | T.O. RUDD CORPORATION | E | Control |
| ONEILL, THEODORE RUDD | I | T.O. RUDD CORPORATION | E | Control |
| ONEILL, THEODORE RUDD | I | T.O. RUDD CORPORATION | E | Control |
| POYNER, JAMES DAVIS JR | I | JAMES D. POYNER INC. | E | Control |
| POYNER, JAMES DAVIS JR | I | JAMES D. POYNER INC. | E | Control |
| POYNER, JAMES DAVIS JR | I | JAMES D. POYNER INC. | E | Control |
| PYYKKONEN, MARTIN PAUL | I | MARTIN PYYKKONEN INC. | E | Control |
| PYYKKONEN, MARTIN PAUL | I | MARTIN PYYKKONEN INC. | E | Control |
| PYYKKONEN, MARTIN PAUL | I | MARTIN PYYKKONEN INC. | E | Control |
| QUARTNER, DOUGLAS MICHAEL | I | JACANDMAQ INC., LTD | E | Control |
| QUARTNER, DOUGLAS MICHAEL | I | JACANDMAQ INC., LTD | E | Control |
| QUARTNER, DOUGLAS MICHAEL | I | JACANDMAQ INC., LTD | E | Control |
| RITZER, ADAM ROBERT | I | ADAM RITZER INC. | E | Control |
| RITZER, ADAM ROBERT | I | ADAM RITZER INC. | E | Control |
| RITZER, ADAM ROBERT | I | ADAM RITZER INC. | E | Control |
| RODRIGUEZ, PAUL FREDERICK | I | JOLEX INC. | E | Control |
| RODRIGUEZ, PAUL FREDERICK | I | JOLEX INC. | E | Control |
| SINGER, JAMES ALAN | I | JAMES SINGER CORP. | E | Control |
| SINGER, JAMES ALAN | I | JAMES SINGER CORP. | E | Control |
| SINGER, JAMES ALAN | I | JAMES SINGER CORP. | E | Control |
| TAWES, ORRIE LEE III | I | OL TAWES INC. | E | Control |
| TAWES, ORRIE LEE III | I | OL TAWES INC. | E | Control |
| THOMPSON, ROBERT LEWIS | I | BOB THOMPSON CORPORATION | E | Control |
| THOMPSON, ROBERT LEWIS | I | BOB THOMPSON CORPORATION | E | Control |
| THOMPSON, ROBERT LEWIS | I | BOB THOMPSON CORPORATION | E | Control |
| TOWBIN, ABRAHAM ROBERT | I | ARTBIN INC. | E | Control |
| TOWBIN, ABRAHAM ROBERT | I | ARTBIN INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG INC. | E | Control |
| WALDECK, ANDREW M | I | ANDREW WALDECK CORP. | E | Control |
| WALDECK, ANDREW M | I | ANDREW WALDECK CORP. | E | Control |
| WALDECK, ANDREW M | I | ANDREW WALDECK CORP. | E | Control |
| WHIPPLE, JAMES THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| WHIPPLE, JAMES THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| WHIPPLE, JAMES THOMAS | I | JAMES T. WHIPPLE CORP. | E | Control |
| C.E. UNTERBERG INC. | DE | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| C.E. UNTERBERG INC. | DE | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
| UNTERBERG, THOMAS ISRAEL | I | C.E. UNTERBERG TOWBIN HOLDINGS INC. | C | Control |
Registrations
Federal
IA
Sep 30, 2005 REGISTERED
Notice Filings (3)
CA CO NY
Address
350 MADISON AVENUENEW YORK, NY 10017
USA
Phone: 212-389-8000