NATIONAL PRIVATE SHARES, INC.
CRD #299487 SEC #801-114625 BOCA RATON, FL 561-981-1000
SEC Registered Private Funds
Total AUM
$486.3M
Discretionary
$486.3M
Employees
8
Clients
--
Accounts
39
Firm Details
- Organization Type
- Corporation
- State of Formation
- Washington
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Nov 4, 2019
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHAFFEE, HAROLD, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| DESENA, JOHN, CHARLES | I | SECRETARY | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| GROENEVELD, WILLIAM, LAWRENCE | I | VICE PRESIDENT | NA | Control |
| JOHNSON, KAY, ALISON | I | VICE PRESIDENT, DIRECTOR | NA | Control |
| JOHNSON, KAY, ALISON | I | VICE PRESIDENT, DIRECTOR | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KAPLAN, HENRY, EDWARD | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOENIGSBERG, JOHN, A | I | DIRECTOR OF OPERATIONS | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| KOWALCZYK, THOMAS, DAVID | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| MULLEN, MICHAEL, ANTHONY | I | DIRECTOR, EXECUTIVE CHAIRMAN | NA | Control |
| ORTEGA, DANIEL | I | CHIEF SUPERVISORY OFFICER | NA | Control |
| ORTEGA, DANIEL | I | CHIEF SUPERVISORY OFFICER | NA | Control |
| ORTEGA, DANIEL | I | CHIEF SUPERVISORY OFFICER | NA | Control |
| ORTEGA, DANIEL | I | CHIEF SUPERVISORY OFFICER | NA | Control |
| RUNKLE, DONALD, KENNETH | I | CHIEF SUPERVISORY OFFICER | NA | |
| RUNKLE, DONALD, KENNETH | I | CHIEF SUPERVISORY OFFICER | NA | |
| RUNKLE, DONALD, KENNETH | I | CHIEF REGULATORY OFFICER | NA | Control |
| RUNKLE, DONALD, KENNETH | I | CHIEF REGULATORY OFFICER | NA | Control |
| RUNKLE, DONALD, KENNETH | I | CHIEF REGULATORY OFFICER | NA | Control |
| RUNKLE, DONALD, KENNETH | I | CHIEF REGULATORY OFFICER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WATSON, NATALIA, TOVAR | I | TREASURER | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| WORMAN, GLENN, CHARLES | I | DIRECTOR | NA | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FORTRESS BIOTECH, INC. | DE | NATIONAL HOLDINGS CORPORATION | D | Control |
| FORTRESS BIOTECH, INC. | DE | NATIONAL HOLDINGS CORPORATION | D | Control |
| B.RILEY FINANCIAL, INC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| B.RILEY FINANCIAL, INC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| B.RILEY FINANCIAL, INC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| B.RILEY FINANCIAL, INC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| NHC HOLDINGS LLC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| NHC HOLDINGS LLC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| NHC HOLDINGS LLC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
| NHC HOLDINGS LLC | DE | NATIONAL HOLDINGS CORPORATION | C | Control |
Registrations
Federal
IA
Nov 4, 2019 REGISTERED
Notice Filings (3)
FL NY WA
Address
5000 T-REX AVENUESUITE 300
BOCA RATON, FL 33431
United States
Phone: 561-981-1000