MUTUALS.COM, INC.
CRD #36525 SEC #801-56944 DALLAS, TX 214-953-0066
SEC Registered Broker-Dealer
Total AUM
$180M
Discretionary
$115M
Employees
10
Clients
--
Accounts
3,500
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Apr 29, 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 |
|---|---|---|---|---|
| AHRENS, DANIEL STUART | I | PRESIDENT,SECRETARY, TREASURER, CCO | NA | Control |
| BULL, BRIAN WILLIAM | I | ASO | NA | Control |
| MCDONALD, ERIC PATRICK | I | COMPLIANCE OFFICER | NA | |
| SAPIO, RICHARD ANDREW | I | PRESIDENT, SECRETARY, TREASURER | NA | Control |
| STOUT, ROBERT WESLEY | I | FINOP | NA | Control |
| 1-800-MUTUALS HOLDING CORP. | DE | STOCKHOLDER | E | Control |
| 1-800-MUTUALS HOLDING CORP. | DE | STOCKHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SAPIO, RICHARD ANDREW | I | 1-800-MUTUALS HOLDING CORP. | D | Control |
| SAPIO, RICHARD ANDREW | I | 1-800-MUTUALS HOLDING CORP. | D | Control |
Registrations
Federal
IA
Apr 29, 2002 REGISTERED
Notice Filings (30)
AK AL AR CA FL HI IA ID IN KY MD MI MO MS NC NE NH NJ NM NY OH PA SC SD TN TX VA WA WI WV
Address
700 N PEARL ST STE 1200DALLAS, TX 75201
USA
Phone: 214-953-0066