ING FINANCIAL MARKETS LLC
CRD #28872 SEC #801-63468 NEW YORK, NY 646-424-6000
SEC Registered Broker-Dealer
Total AUM
$200M
Discretionary
$0
Employees
501
Clients
--
Accounts
200
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 15, 2002
- 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 |
|---|---|---|---|---|
| BETACK, ROBERT LOUIS | I | MANAGING DIRECTOR | NA | Control |
| BETACK, ROBERT LOUIS | I | MANAGING DIRECTOR | NA | Control |
| CIRRITO, JOHN JR | I | CHIEF OPERATIONS OFFICER | NA | |
| CIRRITO, JOHN JR | I | CHIEF OPERATIONS OFFICER | NA | |
| CIRRITO, JOHN JR | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & CHIEF OPERATIONS OFFICER | NA | Control |
| DRUCH, ANDREW WALTER | I | CHIEF LEGAL OFFICER | NA | |
| DRUCH, ANDREW WALTER | I | CHIEF LEGAL OFFICER | NA | |
| DRUCH, ANDREW WALTER | I | CHIEF LEGAL OFFICER | NA | |
| DUFFY, DAVID JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| DUFFY, DAVID JOSEPH | I | PRESIDENT AND CEO | NA | Control |
| EGAN, JOHN KELLY | I | CHIEF FINANCIAL OFFICER | NA | |
| MCCARTHY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCCARTHY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCCARTHY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MURIEL, CARLOS JAIME | I | HEAD OF FINANCIAL MARKETS | NA | |
| WAGNER, LAWRENCE ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | |
| WAGNER, LAWRENCE ARTHUR | I | CHIEF FINANCIAL OFFICER | NA | |
| ING FINANCIAL HOLDINGS CORPORATION | DE | SOLE SHAREHOLDER | E | Control |
| ING TT&S (U.S.) HOLDINGS CORPORATION | DE | SOLE SHAREHOLDER | E | Control |
| ING TT&S (U.S.) HOLDINGS CORPORATION | DE | SOLE SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ING (U.S.) FINANCIAL HOLDINGS CORPORATION | DE | ING TT &S (U.S) HOLDINGS CORPORATION | E | |
| ING (U.S.) FINANCIAL HOLDINGS CORPORATION | DE | ING TT &S (U.S) HOLDINGS CORPORATION | E | |
| ING BANK, N.V. | FE | ING (U.S.) FINANCIAL HOLDINGS CORPORATION | E | |
| ING BANK, N.V. | FE | ING (U.S.) FINANCIAL HOLDINGS CORPORATION | E | |
| ING BANK, N.V. | FE | ING FINANCIAL HOLDINGS CORPORATION | E |
Registrations
Federal
IA
Apr 15, 2002 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
1325 AVENUE OF THE AMERICAS12TH FLOOR
NEW YORK, NY 10019
USA
Phone: 646-424-6000