INVESTORS CAPITAL CORP.
Legal name: INVESTORS CAPITAL ADVISORY
CRD #30613 SEC #801-62341 LYNNFIELD, MA 800-949-1422
SEC Registered Broker-Dealer Disclosures
Total AUM
$1.6B
Discretionary
$1.3B
Employees
325
Clients
251
Accounts
7,960
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Massachusetts
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 5, 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 |
|---|---|---|---|---|
| ALLEN, MASON L | I | DIRECTOR | NA | Control |
| ALLEN, MASON L | I | DIRECTOR | NA | Control |
| ALLEN, MASON L | I | DIRECTOR | NA | Control |
| ALLEN, MASON LURAY | I | DIRECTOR | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSON, DEREK ALAN | I | ICAS CHIEF COMPLIANCE OFFICER | NA | Control |
| ANTONIADES, ADAM NICHOLAS | I | DIRECTOR | NA | Control |
| BERNARD, GEORGE JR | I | VP OF FEE BASE BUSINESS | NA | Control |
| BERNARD, GEORGE JR | I | VP OF FEE BASE BUSINESS | NA | Control |
| BERNARD, GEORGE JR | I | VP OF FEE BASE BUSINESS | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | BD CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRETON, BERNARD ANDRE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER, BROKERAGE ICC | NA | Control |
| CATALDO, JOHN GENNARO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, JANICE MARY | I | TREASURER | NA | |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| CHARLES, THEODORE EVERETT | I | CEO | NA | Control |
| DONNELLY, KATHLEEN LEE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GINOLFI, CHRIS | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRIS | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRIS | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRIS | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY ICA | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| GINOLFI, CHRISTIAN PHILLIP | I | CHIEF COMPLIANCE OFFICER, ADVISORY | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCCRAINE, SUSAN ARLENE | I | COMPLIANCE OFFICER | NA | Control |
| MCKENNA, NINA SCHLOESSER | I | DIRECTOR | NA | Control |
| MCKENNA, NINA SCHLOESSER | I | DIRECTOR | NA | Control |
| MCKENNA, NINA SCHLOESSER | I | DIRECTOR | NA | Control |
| MCKENNA, NINA SCHLOESSER | I | DIRECTOR | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | ICC CHIEF COMPLIANCE OFFICER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO & PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO & PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO & PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO / PRESIDENT / TREASURER | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO & PRESIDENT | NA | Control |
| MURPHY, TIMOTHY BOYLE | I | CEO & PRESIDENT | NA | Control |
| NESTOR, JAMES MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NESTOR, JAMES MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NESTOR, JAMES MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OLSON, GREGORY ALAN | I | SECRETARY | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| PRESKENIS, STEVEN CHRISTOPHER | I | LEGAL COUNSEL | NA | Control |
| SHELSON, MARK PAUL | I | TREASURER | NA | Control |
| SMILEY, STANLEY ROBERT | I | VICE PRESIDENT | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| TARENTINO, MELISSA | I | CHIEF RISK OFFICER AND GENERAL COUNSEL | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| URBANSKI, THOMAS EDWARD | I | CHIEF TECHNOLOGY OFFICER | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| WALLACE, JAMES LOUIS | I | CHIEF OPERATIONS OFFICER AND SVP TRADING AND OPERATION PRINCIPAL | NA | Control |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LLC | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E | |
| INVESTORS CAPITAL HOLDINGS, LTD. | DE | OWNER | E |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ARETEC GROUP, INC. | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | ARETEC GROUP, INC. | E | Control |
| ARETEC GROUP, INC. | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | ARETEC GROUP, INC. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | INVESTORS CAPITAL HOLDINGS, LLC | E | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
| CHARLES, THEODORE EVERETT | I | INVESTORS CAPITAL HOLDINGS, LTD. | C | Control |
Registrations
Federal
IA
Oct 5, 2016 REGISTERED
Notice Filings (52)
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Address
6 KIMBALL LANELYNNFIELD, MA 01940
United States
Phone: 800-949-1422