RIA Intelligence

OPTSECURITIES, LLC

CRD #47529 SEC #801-63043 CHARLOTTE, NC 704-731-5990
SEC Registered Broker-Dealer
Total AUM
$80M
Discretionary
$80M
Employees
--
Clients
10
Accounts
1

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Sep 22, 2005
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
AVINGER, JANE PRICEICHIEF FINANCIAL OFFICERNA Control
AVINGER, JANE PRICEICHIEF FINANCIAL OFFICERNA Control
AVINGER, ROBERT LIVINGSTON JRICHAIRMAN AND MEMBERNA Control
AVINGER, ROBERT LIVINGSTON JRICHAIRMAN AND MEMBERNA Control
AVINGER, ROBERT LIVINGSTON JRICHAIRMAN AND MEMBERNA Control
EHRHART, RICHARD DANAICEO AND CHIEF SUPERVISORY OFFICERNA Control
EHRHART, RICHARD DANAICHIEF COMPLIANCE OFFICERNA Control
EHRHART, RICHARD DANAICEO AND CHIEF SUPERVISORY OFFICERNA Control
EHRHART, RICHARD DANAICEO AND CHIEF SUPERVISORY OFFICERNA Control
EHRHART, RICHARD DANAICHIEF COMPLIANCE OFFICERNA Control
OPT CAPITAL, LLCDESOLE MEMBERE Control
OPTCAPITAL, LLCDESOLE MEMBERE Control
OPTCAPITAL, LLCDESOLE MEMBERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
AVINGER, ROBERT LIVINGSTON JRIOPT CAPITAL, LLCF
AVINGER, ROBERT LIVINGSTON JRIOPT CAPITAL, LLCF
AVINGER, ROBERT LIVINGSTON JRIOPTCAPITAL, LLCF
MCGARRY, MICHAEL EDWARDIOPTCAPITAL, LLCF
EHRHART, RICHARD DANAIOPT CAPITAL, LLCD Control
EHRHART, RICHARD DANAIOPT CAPITAL, LLCD Control
EHRHART, RICHARD DANAIOPTCAPITAL, LLCD Control

Registrations

Federal

IA
Sep 22, 2005 REGISTERED

Notice Filings (5)

AZ GA NC OH TX

Address

200 S. COLLEGE STREET
16TH FLOOR
CHARLOTTE, NC 28202
USA
Phone: 704-731-5990