JOSEPHTHAL & CO., INC.
Legal name: JOSEPHTHAL & CO INC
CRD #3227 SEC #801-38484 NEW YORK, NY 212-907-4000
SEC Registered Broker-Dealer
Total AUM
$186.7M
Discretionary
$108.1M
Employees
501
Clients
10
Accounts
697
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Jun 28, 2001
- 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 |
|---|---|---|---|---|
| AGOSTA, SALVATORE FRANK | I | CHIEF FINANCIAL OFFICER | NA | |
| FICHTNER, HENRY ARTHUR | I | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | NA | Control |
| FITZGERALD, PAUL HENRY | I | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | NA | Control |
| KRONENBERG, DAVID HIRSCH | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| MATYCKAS, EDWARD STANLEY | I | CROP/SROP | NA | |
| MCCABE, DONALD GERARD | I | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | NA | |
| MCNAMARA, DENNIS PATRICK | I | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | NA | |
| JOSEPHTHAL CAPITAL GROUP, INC. | DE | PARENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| JOSEPHTHAL GROUP, INC. | I | JOSEPHTHAL CAPITAL GROUP, INC. | E | |
| PURJES, DAN DAVID | I | JOSEPHTHAL GROUP, INC. | E | Control |
Registrations
Federal
IA
Jun 28, 2001 REGISTERED
Notice Filings (47)
AK AL AR CA CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PR RI SC SD TN TX UT VA VT WA WI WV
Address
200 PARK AVE25TH FLOOR
NEW YORK, NY 10166
USA
Phone: 212-907-4000