ROUND HILL SECURITIES, INC.
CRD #35223 SEC #801-45485 ALAMO, CA 925-820-3980
SEC Registered Broker-Dealer
Total AUM
$28.4M
Discretionary
$27.7M
Employees
--
Clients
0
Accounts
139
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 22, 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 |
|---|---|---|---|---|
| BURCHARD, GERALD HART JR | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| BURCHARD, GERALD HART JR | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| BURCHARD, GERALD HART JR | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| BURCHARD, GERALD HART JR | I | PRESIDENT/DIRECTOR | NA | Control |
| BURCHARD, GERALD HART JR | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| CAMPBELL, KEITH WAYNE | I | SENIOR VICE PRESIDENT/SROP/CROP | NA | Control |
| CAMPBELL, KEITH WAYNE | I | SENIOR VICE PRESIDENT/SROP/CROP | NA | Control |
| CAMPBELL, KEITH WAYNE | I | SENIOR VICE PRESIDENT/SROP/CROP | NA | Control |
| DORN, DIANA GAYLE | I | SVP, CROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| DORN, DIANA GAYLE | I | SVP, CROP, CHIEF COMPLIANCE OFFICER | NA | Control |
| EMFINGER, TERRY LEWIS | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | NA | Control |
| EMFINGER, TERRY LEWIS | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | NA | Control |
| EMFINGER, TERRY LEWIS | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | NA | Control |
| EMFINGER, TERRY LEWIS | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | NA | Control |
| EMFINGER, TERRY LEWIS | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | NA | Control |
| HOLUB, ROBERT JAY | I | CHAIRMAN/DIRECTOR | NA | Control |
| HOLUB, ROBERT JAY | I | CHAIRMAN/DIRECTOR | NA | Control |
| HOLUB, ROBERT JAY | I | CHAIRMAN/DIRECTOR | NA | Control |
| LENHARDT, ARTHUR WILLIAM | I | SENIOR VICE PRESIDENT, SROP | NA | Control |
| LENHARDT, ARTHUR WILLIAM | I | SENIOR VICE PRESIDENT, SROP | NA | Control |
| OVERHOLTZER, JOHN MARK | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| OVERHOLTZER, JOHN MARK | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| OVERHOLTZER, JOHN MARK | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| PAGNOTTA, JEAN MARIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGNOTTA, JEAN MARIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGNOTTA, JEAN MARIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SBOTO, THOMAS JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SBOTO, THOMAS JOSEPH | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| SBOTO, THOMAS JOSEPH | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| SBOTO, THOMAS JOSEPH | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| SBOTO, THOMAS JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SCHUBERT, JEFFREY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| SCHUBERT, JEFFREY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| ROUND HILL HOLDINGS, INC. | DE | OWNER | E | Control |
| ROUND HILL HOLDINGS, INC. | DE | ROUND HILL SECURITIES, INC. | E | Control |
| ROUND HILL HOLDINGS, INC. | DE | ROUND HILL SECURITIES, INC. | E | Control |
| ROUND HILL HOLDINGS, INC. | DE | ROUND HILL SECURITIES, INC. | E | Control |
| ROUND HILL HOLDINGS, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AEI HOLDING CORPORATION | DE | ROUND HILL HOLDINGS, INC. | D | Control |
| AEI HOLDING CORPORATION | DE | ROUND HILL HOLDINGS, INC. | D | Control |
| BADGER, DWIGHT OLIVER | I | AEI HOLDING CORPORATION | C | Control |
| BADGER, DWIGHT OLIVER | I | AEI HOLDING CORPORATION | C | Control |
| DAUBENSPECK, KEITH GREGORY | I | AEI HOLDING CORPORATION | C | Control |
| DAUBENSPECK, KEITH GREGORY | I | AEI HOLDING CORPORATION | C | Control |
| HOLUB, ROBERT JAY | I | ROUND HILL HOLDINGS, INC. | C | Control |
| HOLUB, ROBERT JAY | I | ROUND HILL HOLDINGS, INC. | C | Control |
| HOLUB, ROBERT JAY | I | ROUND HILL HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Apr 22, 2002 REGISTERED
Notice Filings (9)
CA FL MN NC NM NV OH UT WA
Address
3191 DANVILLE BLVD.ALAMO, CA 94507
USA
Phone: 925-820-3980