THINKEQUITY LLC
CRD #44274 SEC #801-63835 SAN FRANCISCO, CA 415-249-2900
SEC Registered Broker-Dealer Disclosures
Total AUM
$172.1M
Discretionary
$172.1M
Employees
51
Clients
11
Accounts
416
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 26, 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 |
|---|---|---|---|---|
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | DIRECTOR OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | CHIEF OPERATING OFFICER OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | CHIEF OPERATING OFFICER OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | CHIEF OPERATING OFFICER OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | CHIEF OPERATING OFFICER OF RESEARCH | NA | Control |
| ARMSTRONG, MICHAEL BENJAMIN | I | CHIEF OPERATING OFFICER OF RESEARCH | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRITT, HARRIET JAYNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | DIRECTOR OF RESEARCH | NA | Control |
| COLEMAN, PETER VICTOR | I | DIRECTOR OF RESEARCH | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | DIRECTOR OF RESEARCH | NA | Control |
| COLEMAN, PETER VICTOR | I | DIRECTOR OF RESEARCH | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER AND DIRECTOR OF RESEARCH | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLEMAN, PETER VICTOR | I | DIRECTOR OF RESEARCH | NA | Control |
| COMBS, PAUL WILLIAM SR | I | DIRECTOR OF RESEARCH | NA | Control |
| COMBS, PAUL WILLIAM SR | I | DIRECTOR OF RESEARCH | NA | Control |
| COMBS, PAUL WILLIAM SR | I | DIRECTOR OF RESEARCH | NA | Control |
| COMBS, PAUL WILLIAM SR | I | DIRECTOR OF RESEARCH | NA | Control |
| COVER, MCLANE FISHER | I | PARTNER/HEAD OF EAST COAST SALES | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | Control |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | Control |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| ENDRES, BRIAN KENNETH | I | CONTROLLER/FINOP | NA | |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GERSCH, SETH JONATHAN | I | CHIEF OPERATING OFFICER | NA | Control |
| GERSCH, SETH JONATHAN | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| GIMIGLIANO, RICHARD ANTHONY | I | MANAGING DIRECTOR/HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| GIMIGLIANO, RICHARD ANTHONY | I | MANAGING DIRECTOR/HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| GIMIGLIANO, RICHARD ANTHONY | I | MANAGING DIRECTOR/HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| GIMIGLIANO, RICHARD ANTHONY | I | MANAGING DIRECTOR/HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| GIMIGLIANO, RICHARD ANTHONY | I | MANAGING DIRECTOR/HEAD OF EQUITY CAPITAL MARKETS | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GONSALVES, DOUGLAS RONALD | I | HEAD OF INVESTMENT BANKING | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES | NA | |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES | NA | |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | NA | Control |
| HANSEN, HOLLY JOY | I | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | NA | Control |
| HEINRICH, BERNADINE LAVIN | I | US FINANCIAL CONTROLLER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| HEINRICH, BERNADINE LAVIN | I | US FINANCIAL CONTROLLER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF BROKERAGE | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOHNSTON, PHILIP MURRAY | I | HEAD OF SALES TRADING | NA | Control |
| JOONDEPH, JEROME J JR | I | CHIEF FINANCIAL OFFICER | NA | |
| JOONDEPH, JEROME J JR | I | CHIEF FINANCIAL OFFICER | NA | |
| JOONDEPH, JEROME J JR | I | CHIEF FINANCIAL OFFICER | NA | |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | Control |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | Control |
| JOONDEPH, JEROME J JR | I | GENERAL COUNSEL | NA | |
| MACHIN, FRANCISCO JAVIER | I | CONTROLLER/FINOP | NA | |
| MACHIN, FRANCISCO JAVIER | I | CONTROLLER/FINOP | NA | |
| MACHIN, FRANCISCO JAVIER | I | CONTROLLER/FINOP | NA | |
| MACHIN, FRANCISCO JAVIER | I | CONTROLLER/FINOP | NA | |
| MASON, RANDALL WALTER | I | DIRECTOR OF RESEARCH | NA | Control |
| MASON, RANDALL WALTER | I | DIRECTOR OF RESEARCH | NA | Control |
| MASON, RANDALL WALTER | I | PRINCIPAL/INSTITUTIONAL SALES | NA | Control |
| MASON, RANDALL WALTER | I | PRINCIPAL/INSTITUTIONAL SALES | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF SALES TRADING | NA | Control |
| MCCLANAHAN, ROBERT BRUCE | I | HEAD OF TRADING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MITCHELL, THEODORE FREDERICK | I | CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MOE, MARK LLOYD | I | PARTNER/HEAD OF MIDWEST SALES | NA | |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MOE, MICHAEL THOMAS | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER | NA | Control |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | Control |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | Control |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING AND SALES TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| MONOPOLI, JACK GIACOMO | I | HEAD OF TRADING | NA | |
| NOLLENBERGER, BRUCE WESTON | I | PRESIDENT THINKEQUITY ASSET AND WEALTH MANAGEMENT | NA | Control |
| NOLLENBERGER, BRUCE WESTON | I | HEAD OF THINKEQUITY AASSET AND WEALTH MANAGEMENT | NA | Control |
| NOLLENBERGER, BRUCE WESTON | I | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | NA | Control |
| NOLLENBERGER, BRUCE WESTON | I | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | NA | Control |
| NOLLENBERGER, BRUCE WESTON | I | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | NA | Control |
| NOLLENBERGER, BRUCE WESTON | I | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT AND HEAD OF INVESTMENT BANKING | NA | Control |
| QUAZZO, DEBORAH HICKS | I | PRESIDENT, HEAD OF INVESTMENT BANKING | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT/DIRECTOR OF RESEARCH | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RAJ, DEEPAK DEV | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROSS, ERIC MICHAEL | I | DIRECTOR OF RESEARCH | NA | Control |
| ROSS, ERIC MICHAEL | I | DIRECTOR OF RESEARCH | NA | Control |
| SCHOOLER, ROBERT LEONARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHOOLER, ROBERT LEONARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHOOLER, ROBERT LEONARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| SLACIK, FRANCIS KARL | I | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | Control |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | Control |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | PRINCIPAL/WEALTH MANGEMENT GROUP/CROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WEITGENANT, DAVID ANDREW | I | CROP & SROP | NA | |
| WHITE, ROBERT PATRICK | I | PARTNER/HEAD OF WEST COAST SALES | NA | Control |
| WHITE, ROBERT PATRICK | I | MANAGING DIRECTOR/HEAD OF INSTL SALES | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | DIRECTOR OF CORPORATE FINANCE | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WRIGHT, GREGORY LANCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| PANMURE GORDON HOLDINGS US LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| THINKEQUITY HOLDINGS LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| THINKEQUITY HOLDINGS LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| THINKEQUITY HOLDINGS LLC | DE | HOLDING COMPANY OF THINKEQUITY LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF B/D | E | |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF B/D | E | |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF B/D | E | |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF THINKEQUITY PARTNERS LLC | E | Control |
| THINKEQUITY HOLDINGS LLC (FKA CH HOLDINGS) | DE | HOLDING COMPANY OF B/D | E |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | THINKEQUITY HOLDINGS LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| PANMURE GORDON & CO. PLC | FE | PANMURE GORDON HOLDINGS US LLC | E | Control |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| LFCM HOLDINGS LLC | DE | UKPG HOLDINGS LLC | C | |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| QINVEST | FE | PANMURE GORDON & CO. PLC | C | Control |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| UKPG HOLDINGS LLC | DE | PANMURE GORDON & CO. PLC | C | |
| WRIGHT, GREGORY LANCE | I | THINKEQUITY HOLDINGS LLC | C | Control |
| WRIGHT, GREGORY LANCE | I | THINKEQUITY HOLDINGS LLC | C | Control |
| WRIGHT, GREGORY LANCE | I | THINKEQUITY HOLDINGS LLC | C | Control |
Registrations
Federal
IA
Jul 26, 2012 REGISTERED
Notice Filings (17)
AZ CA CT DC FL IL MA MD MI MN MO NC NY OH OR PA WA
Address
600 MONTGOMERY STREET3RD FLOOR
SAN FRANCISCO, CA 94111
United States
Phone: 415-249-2900