ROBERTSON STEPHENS, INC.
CRD #41271 SEC #801-55825 SAN FRANCISCO, CA 415-781-9700
SEC Registered Broker-Dealer
Total AUM
$3.6B
Discretionary
$3.6B
Employees
501
Clients
0
Accounts
1,372
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 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 |
|---|---|---|---|---|
| CARTER, TODD JOHN | I | PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CARUSO, ROBERT JOSEPH | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| CARUSO, ROBERT JOSEPH | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| CARUSO, ROBERT JOSEPH | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| CARUSO, ROBERT JOSEPH | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CASEY, MICHAEL JOHN | I | GENERAL COUNSEL | NA | |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER, PRESIDENT & BOARD OF DIRECTORS | NA | Control |
| CONLIN, JOHN EDWARD | I | CHIEF EXECUTIVE OFFICER & BOARD OF DIRECTORS | NA | Control |
| CONSIDINE, JAMES JOHN | I | CROP AND SROP | NA | |
| FITZSIMMONS, KENNETH ROSS JR | I | DIRECTOR OF CAPITAL MARKETS | NA | Control |
| FITZSIMMONS, KENNETH ROSS JR | I | HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| FITZSIMMONS, KENNETH ROSS JR | I | HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| FITZSIMMONS, KENNETH ROSS JR | I | HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| FITZSIMMONS, KENNETH ROSS JR | I | HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| FITZSIMMONS, KENNETH ROSS JR | I | SENIOR STRATEGIC ADVISOR | NA | Control |
| MCCARTHY, MAUREEN | I | HEAD OF CASH TRADING, BOARD OF DIRECTORS | NA | Control |
| MCCARTHY, MAUREEN | I | HEAD OF CASH TRADING, BOARD OF DIRECTORS | NA | Control |
| MCCARTHY, MAUREEN | I | HEAD OF CASH TRADING, BOARD OF DIRECTORS | NA | Control |
| MCCARTHY, MAUREEN | I | HEAD OF CASH TRADING, BOARD OF DIRECTORS | NA | Control |
| MCCARTHY, MAUREEN | I | DIRECTOR AND HEAD OF TRADING | NA | Control |
| POWERS, JOHN FRANCIS | I | DIRECTOR OF RESEARCH | NA | Control |
| SEEDORF, MATTHEW THOMAS SR | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| SEEDORF, MATTHEW THOMAS SR | I | CHIEF FINANCIAL OFFICER, FINOP | NA | Control |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| STONE, CLIFTON DAVID | I | DIRECTOR OF COMPLIANCE | NA | |
| WHITEFORD, GUSTAVUS MITCHELL | I | DIRECTOR OF EQUITIES | NA | Control |
| WRIGHT, JEFFREY DYER | I | CROP AND SROP | NA | |
| WRIGHT, JEFFREY DYER | I | CROP AND SROP | NA | |
| WRIGHT, JEFFREY DYER | I | CROP AND SROP | NA | |
| WRIGHT, JEFFREY DYER | I | CROP AND SROP | NA | |
| WRIGHT, JEFFREY DYER | I | CROP AND SROP | NA | |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| ROBERTSON STEPHENS U.S. HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| FLEETBOSTON FINANCIAL CORPORATION | DE | ROBERTSON STEPHENS GROUP, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
| ROBERTSON STEPHENS GROUP, INC. | DE | ROBERTSON STEPHENS U.S. HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Mar 28, 2002 REGISTERED
Notice Filings (19)
AZ CA CT DC FL GA LA MA MD NC NH NV NY OH PA TX UT VA WA
Address
555 CALIFORNIA STREETSUITE 2600
SAN FRANCISCO, CA 94104
USA
Phone: 415-781-9700