LEERINK SWANN LLC
CRD #39011 SEC #801-68264 BOSTON, MA 617-248-1601
SEC Registered Broker-Dealer
Total AUM
$38.9M
Discretionary
$28.9M
Employees
6
Clients
0
Accounts
83
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 29, 2011
- 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 |
|---|---|---|---|---|
| CAWTHORN, ROBERT E | I | TRUSTEE OF THE TRUST/DIRECTOR OF CORPORATION | NA | Control |
| CORNELUS, JAMES MILTON | I | TRUSTEE OF THE TRTUST/DIRECTOR OF CORPORATION | NA | Control |
| DEFRONZO, PAUL JAMES | I | FINOP | NA | |
| DEFRONZO, PAUL JAMES | I | FINOP | NA | |
| DEFRONZO, PAUL JAMES | I | FINOP | NA | |
| DEVEREAUX, KEVIN EDWARD | I | CHIEF COMPLIANCE OFFICER (CCO) | NA | Control |
| DEVEREAUX, KEVIN EDWARD | I | CHIEF COMPLIANCE OFFICER (CCO) | NA | |
| DEVEREAUX, KEVIN EDWARD | I | CHIEF COMPLIANCE OFFICER (CCO) | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| DUBIN, DANIEL BARRY | I | DIRECTOR/TRUSTEE | NA | Control |
| FLEMING, JONATHAN JEDIDIAH | I | DIRECTOR/TRUSTEE | NA | Control |
| GENTILE, JOSEPH ROBERT | I | CHIEF OPERATIONS OFFICER | NA | |
| GENTILE, JOSEPH ROBERT | I | CHIEF OPERATIONS OFFICER | NA | |
| GERHOLD, TIMOTHY A | I | CHIEF LEGAL OFFICER | NA | |
| GERHOLD, TIMOTHY ALBERT GEORGE | I | CHIEF LEGAL OFFICER | NA | |
| GERHOLD, TIMOTHY ALBERT GEORGE | I | CHIEF LEGAL OFFICER | NA | |
| GERHOLD, TIMOTHY ALBERT GEORGE | I | CHIEF LEGAL OFFICER | NA | |
| GERHOLD, TIMOTHY ALBERT GEORGE | I | CHIEF LEGAL OFFICER | NA | |
| GERHOLD, TIMOTHY ALBERT GEORGE | I | CHIEF LEGAL OFFICER | NA | |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| LEERINK, JEFFREY ALAN | I | CEO/DIRECTOR/TRUSTEE | NA | Control |
| MCPHEE, JOHN SPAULDING | I | SROP/CROP | NA | |
| MCPHEE, JOHN SPAULDING | I | SROP/CROP | NA | |
| MCPHEE, JOHN SPAULDING | I | SROP/CROP | NA | |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| NEWMAN, ANDREW RYAN | I | TREASURER | NA | Control |
| PALLAN, RICHARD NELSON | I | DIRECTOR/TRUSTEE | NA | Control |
| PELLEGRINO, JOHN RICHTER | I | CHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR | NA | Control |
| PELLEGRINO, JOHN RICHTER | I | CHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR | NA | Control |
| PELLEGRINO, JOHN RICHTER | I | CHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR | NA | Control |
| SWANN, LAURENCE ERIC | I | DIRECTOR/TRUSTEE | NA | Control |
| WHELAN, ROBERT MICHAEL JR | I | DIRECTOR/TTEE | NA | Control |
| ZHONG, QI YU | I | FINOP | NA | |
| ZHONG, QI YU | I | FINOP | NA | |
| ZHONG, QI YU | I | FINOP | NA | |
| LEERINK SWANN HOLDINGS, LLC | DE | OWNER | E | Control |
| LEERINK SWANN HOLDINGS, LLC | DE | OWNER | E | Control |
| LEERINK SWANN HOLDINGS, LLC | DE | OWNER | E | Control |
| LEERINK SWANN HOLDINGS, LLC | DE | OWNER | E | Control |
| LEERINK SWANN HOLDINGS, LLC | DE | OWNER | E | Control |
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | LEERINK SWANN HOLDINGS, LLC | D | Control |
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | LEERINK SWANN HOLDINGS, LLC | D | Control |
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | LEERINK SWANN HOLDINGS, LLC | D | Control |
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | LEERINK SWANN HOLDINGS, LLC | D | Control |
| LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | DE | LEERINK SWANN HOLDINGS, LLC | D | Control |
| LEERINK, JEFFREY ALAN | I | LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | C | Control |
| LEERINK, JEFFREY ALAN | I | LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | C | Control |
| LEERINK, JEFFREY ALAN | I | LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | C | Control |
| LEERINK, JEFFREY ALAN | I | LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | C | Control |
| LEERINK, JEFFREY ALAN | I | LEERINK SWANN MASSACHUSETTS BUSINESS TRUST | C | Control |
Registrations
Federal
IA
Nov 29, 2011 REGISTERED
Notice Filings (4)
MA MD NH PA
Address
ONE FEDERAL ST.37TH FL
BOSTON, MA 02110
United States
Phone: 617-248-1601