ADVANCED EQUITIES, INC.
CRD #35545 SEC #801-67983 CHICAGO, IL 312-377-5300
SEC Registered Broker-Dealer Private Funds Disclosures
Total AUM
$867.9M
Discretionary
$867.9M
Employees
51
Clients
0
Accounts
209
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Indiana
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 23, 2012
- 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 |
|---|---|---|---|---|
| AULTMANBAZINET, DANA LOUISE | I | COMPLIANCE ADMIN. MANAGER SAN FRANCISCO | NA | Control |
| AULTMANBAZINET, DANA LOUISE | I | COMPLIANCE ADMIN. MANAGER SAN FRANCISCO | NA | Control |
| AULTMANBAZINET, DANA LOUISE | I | COMPLIANCE ADMIN. MANAGER SAN FRANCISCO | NA | Control |
| AULTMANBAZINET, DANA LOUISE | I | COMPLIANCE ADMIN. MANAGER SAN FRANCISCO | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BADGER, DWIGHT OLIVER | I | CEO OF AEFC AND SOLE BOARD MEMBER AEI | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BAHULEYAN, SAJU | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BAHULEYAN, SAJU | I | FINOP | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER - CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | ASST. CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER - CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BECK, KEITH ENRIQUE | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| BECK, KEITH ENRIQUE | I | BRANCH MANAGER- CHICAGO | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | SROP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BENDER, BRIAN | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| BENDER, BRIAN | I | ROSFP | NA | Control |
| BERLIN, JORDAN STUART | I | BRANCH MANAGER - NY | NA | Control |
| BERLIN, JORDAN STUART | I | BRANCH MANAGER - NY | NA | Control |
| BERLIN, JORDAN STUART | I | BRANCH MANAGER - NY | NA | Control |
| BERLIN, JORDAN STUART | I | BRANCH MANAGER - NY | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND BRANCH MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND BRANCH MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE AND BRANCH MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE MANAGER - NEW YORK | NA | Control |
| CHRISTAKOS, BASIL | I | COMPLIANCE OFFICER - NEW YORK | NA | Control |
| COLOMBO, DOUGLAS | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| COLOMBO, DOUGLAS | I | FINOP | NA | Control |
| COLOMBO, DOUGLAS | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| COLOMBO, DOUGLAS | I | FINOP | NA | Control |
| COLOMBO, DOUGLAS | I | CHIEF COMPLIANCE OFFICER- BROKER DEALER | NA | Control |
| COLOMBO, DOUGLAS | I | FINOP | NA | Control |
| CROCKETT, RICHARD HUNT | I | SROP | NA | Control |
| CROCKETT, RICHARD HUNT | I | MANAGING DIRECTOR NEW YORK OFFICE | NA | Control |
| CROCKETT, RICHARD HUNT | I | SROP | NA | Control |
| CROCKETT, RICHARD HUNT | I | MANAGING DIRECTOR NEW YORK OFFICE | NA | Control |
| CROCKETT, RICHARD HUNT | I | SROP | NA | Control |
| CROCKETT, RICHARD HUNT | I | MANAGING DIRECTOR NEW YORK OFFICE | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT | NA | Control |
| CROWE, BYRON KEITH | I | PRESIDENT | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CHIEF OPERATING OFFICER | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DAUBENSPECK, KEITH GREGORY | I | CHAIRMAN AEFC | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| DOCKENDORF, MICHAEL EDWARD | I | PRESIDENT | NA | Control |
| FALLONE, GORDON ELLIOT | I | BRANCH MANAGER-SF | NA | Control |
| FALLONE, GORDON ELLIOT | I | BRANCH MANAGER-SF | NA | Control |
| FALLONE, GORDON ELLIOT | I | BRANCH MANAGER-SF | NA | Control |
| FALLONE, GORDON ELLIOT | I | BRANCH MANAGER-SF | NA | Control |
| FISHER, JEFFREY SCOTT | I | PRESIDENT | NA | Control |
| FISHER, JEFFREY SCOTT | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| FISHER, JEFFREY SCOTT | I | PRESIDENT | NA | Control |
| FISHER, JEFFREY SCOTT | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| GARTNER, MATTHEW S | I | COMPLIANCE MANAGER - CHICAGO | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | ASSISTANT COMPLIANCE OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | AML OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | BRANCH MANAGER CHICAGO OFFICE | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | COMPLIANCE/ AML OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | ASSISTANT COMPLIANCE OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | ASSISTANT COMPLIANCE OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | COMPLIANCE/ AML OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | ASSISTANT COMPLIANCE OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | COMPLIANCE/ AML OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | ASSISTANT COMPLIANCE OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | AML OFFICER | NA | Control |
| HAUPIN, KIMBERLY VICTORIA RIAN | I | COMPLIANCE MANAGER CHICAGO OFFICE | NA | Control |
| KOZAK, JAMES PATRICK | I | SALES MANAGER - CHICAGO | NA | Control |
| KOZAK, JAMES PATRICK | I | SALES MANAGER - CHICAGO | NA | Control |
| KOZAK, JAMES PATRICK | I | MUNICIPAL SECURITIES PRINCIPAL | NA | Control |
| KOZAK, JAMES PATRICK | I | SALES MANAGER - CHICAGO | NA | Control |
| KOZAK, JAMES PATRICK | I | SALES MANAGER - CHICAGO | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| LYNCH, JAMES PATRICK | I | BRANCH MANAGER | NA | Control |
| MECHAM, LEONIDAS CARTER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MECHAM, LEONIDAS CARTER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MILBURN, ROBERT MAURICE | I | FINOP | NA | Control |
| MILBURN, ROBERT MAURICE | I | FINOP | NA | Control |
| MILBURN, ROBERT MAURICE | I | FINOP | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | COMPLIANCE MANAGER- SAN FRANCISCO | NA | Control |
| PASCAL, GERALD PALMER | I | AML COMPLIANCE OFFICER | NA | Control |
| PASCAL, GERALD PALMER | I | BRANCH MANAGER - SAN FRANCISCO | NA | Control |
| PEDERSEN, WILLIAM FREDERICK | I | SAN FRANCISCO BRANCH MANAGER | NA | Control |
| PEDERSEN, WILLIAM FREDERICK | I | SAN FRANCISCO BRANCH MANAGER | NA | Control |
| PEDERSEN, WILLIAM FREDERICK | I | SAN FRANCISCO BRANCH MANAGER | NA | Control |
| PEDERSEN, WILLIAM FREDERICK | I | SAN FRANCISCO BRANCH MANAGER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | ROSFP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | FINOP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CROP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CROP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CROP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CROP | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | FINOP | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | CHIEF OPERATING OFFICER | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| ROGERS, DAVID SHAWN | I | NATIONAL SALES DIRECTOR | NA | Control |
| SCHOSSOW, TODD LEE | I | SR. COMPLIANCE OFFICER | NA | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORPORATION | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BADGER, DWIGHT OLIVER | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
| BADGER, DWIGHT OLIVER | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
| BADGER, DWIGHT OLIVER | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
| DAUBENSPECK, KEITH GREGORY | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
| DAUBENSPECK, KEITH GREGORY | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
| DAUBENSPECK, KEITH GREGORY | I | ADVANCED EQUITIES FINANCIAL CORPORATION | C | Control |
Registrations
Federal
IA
Jul 23, 2012 REGISTERED
Notice Filings (52)
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 VI VT WA WI WV
Address
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United States
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