J. B. HANAUER & CO.
CRD #6958 SEC #801-44091 PARSIPPANY, NJ 973-829-1000
SEC Registered Broker-Dealer
Total AUM
$56.5M
Discretionary
$47.3M
Employees
251
Clients
26
Accounts
229
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Oct 10, 2005
- 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 |
|---|---|---|---|---|
| BARNES, CHARLENE TAMM | I | SENIOR VICE PRESIDENT/CIO/DIRECTOR | NA | Control |
| BOARDMAN, MATTHEW MILES | I | DIRECTOR | NA | Control |
| BOARDMAN, MATTHEW MILES | I | DIRECTOR | NA | Control |
| CAREY, WILLIAM R. | I | DIRECTOR | NA | Control |
| CAREY, WILLIAM R. | I | DIRECTOR | NA | Control |
| CAREY, WILLIAM R. | I | DIRECTOR | NA | Control |
| CIVELLO, NELSON DAVID | I | DIRECTOR | NA | Control |
| CIVELLO, NELSON DAVID | I | DIRECTOR | NA | Control |
| CIVELLO, NELSON DAVID | I | DIRECTOR | NA | Control |
| COOKLER, RONALD NEIL | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| COOPERSMITH, MARC ROBERT | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| COOPERSMITH, MARC ROBERT | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| COOPERSMITH, MARC ROBERT | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| FLADELL, JEFFREY ALAN | I | DIRECTOR | NA | |
| FREIMAN, RICHARD ALAN | I | EXECUTIVE VICE PRESIDENT/DIRECTOR | NA | Control |
| FROST, REBECCA ALDEN | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | |
| HOWARD, WILLIAM J | I | EXECUTIVE VICE PRESIDENT / DIRECTOR | NA | Control |
| KRAUS, DANIEL JOHN | I | SENIOR VICE PRESIDENT / DIRECTOR | NA | Control |
| LEAVERTON, KARL VERNON | I | DIRECTOR | NA | Control |
| LEFKOWITZ, MIRIAM | I | GENERAL COUNSEL & CCO / DIRECTOR | NA | Control |
| LEFKOWITZ, MIRIAM | I | GENERAL COUNSEL & CCO / DIRECTOR | NA | Control |
| LEFKOWITZ, MIRIAM | I | GENERAL COUNSEL / DIRECTOR OF COMPLIANCE | NA | Control |
| MANNA, VIRGINIA ANTOINIETTA | I | CFO / EXECUTIVE VICE PRESIDENT | NA | Control |
| MANNA, VIRGINIA ANTOINIETTA | I | CFO / EXECUTIVE VICE PRESIDENT / DIRECTOR | NA | Control |
| MANNA, VIRGINIA ANTONIETTA | I | CFO | NA | Control |
| MANNA, VIRGINIA ANTONIETTA | I | CFO/DIRECTOR | NA | Control |
| MANNA, VIRGINIA ANTONIETTA | I | CFO | NA | Control |
| PLIFKA, GREG | I | CHIEF OPERATING OFFICER | NA | Control |
| PLIFKA, GREG | I | EXECUTIVE VICE PRESIDENT/SECRETARY/DIRECTOR | NA | Control |
| PLIFKA, GREG | I | CHIEF OPERATING OFFICER | NA | Control |
| POLLACK, LEON MORRIS | I | DIRECTOR | NA | Control |
| POLLACK, LEON MORRIS | I | DIRECTOR | NA | Control |
| POLLACK, LEON MORRIS | I | DIRECTOR | NA | Control |
| RINGEL, MARK ELLERY | I | CHIEF COMPLIANCE OFFICER | NA | |
| RINGEL, MARK ELLERY | I | SROP/SVP/COMPLIANCE MANAGER | NA | |
| RINGEL, MARK ELLERY | I | SROP/CROP | NA | |
| RINGEL, MARK ELLERY | I | SROP/CROP | NA | |
| RINGEL, MARK ELLERY | I | SROP | NA | |
| ROSENZWEIG, DAVID | I | EXECUTIVE VICE PRESIDENT / DIRECTOR | NA | Control |
| SCHMIDT, CHRISTOPHER PAUL | I | CROP/SROP | NA | |
| SCHMIDT, CHRISTOPHER PAUL | I | CROP | NA | |
| SCHMIDT, CHRISTOPHER PAUL | I | CROP/SROP | NA | |
| SZUCH, CLYDE A. | I | DIRECTOR | NA | Control |
| SZUCH, CLYDE A. | I | DIRECTOR | NA | Control |
| SZUCH, CLYDE A. | I | DIRECTOR | NA | Control |
| SZUCH, CLYDE A. | I | DIRECTOR | NA | Control |
| TAFT, JOHN GODFREY | I | DIRECTOR | NA | Control |
| TAFT, JOHN GODFREY | I | DIRECTOR | NA | Control |
| TOTH, ROBERT WILLIAM | I | CROP | NA | |
| VITALE, STEPHEN PAUL | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| VITALE, STEPHEN PAUL | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| VITALE, STEPHEN PAUL | I | SENIOR VICE PRESIDENT/DIRECTOR | NA | Control |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO | NA | Control |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO | NA | Control |
| RBC CAPITAL MARKETS HOLDINGS (USA) INC. | DE | DIRECT OWNER | E | Control |
| RBC DAIN RAUSCHER CORP | DE | DIRECT OWNER | E | Control |
| KESSLER, JOHN HENRY | I | SHAREHOLDER | C | Control |
| KESSLER, JOHN HENRY | I | SHAREHOLDER | C | Control |
| KESSLER, JOHN HENRY | I | SHAREHOLDER | C | |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO / DIRECTOR | C | Control |
| KESSLER, JOHN HENRY | I | SHAREHOLDER | B | |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO / DIRECTOR | B | Control |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO / DIRECTOR | B | Control |
| ZUCKER, BARRY HUGH | I | PRESIDENT & CEO / DIRECTOR | B | Control |
| ALTMAN, ALEXANDER | I | SHAREHOLDER | A | |
| PLIFKA, GREG | I | CHIEF OPERATING OFFICER/DIRECTOR | A | Control |
| PLIFKA, GREG | I | CHIEF OPERATING OFFICER/DIRECTOR | A | Control |
| PLIFKA, GREG | I | CHIEF OPERATING OFFICER/DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| RBC HOLDINGS (USA) INC. | DE | RBC USA HOLDCO CORP. | E | Control |
| RBC USA HOLDCO CORP. | DE | RBC CAPITAL MARKETS HOLDINGS (USA) INC. | E | Control |
| ROYAL BANK HOLDING INC. | FE | RBC HOLDINGS (USA) INC. | E | Control |
| ROYAL BANK OF CANADA | FE | ROYAL BANK HOLDING INC. | E | Control |
Registrations
Federal
IA
Oct 10, 2005 REGISTERED
Notice Filings (21)
AZ CA CT DE FL IL KS MA MI MS NC NH NJ NM NV NY PA SC TX VA WA
Address
GATEHALL CORPORATE CENTER 4 GATEHALL DR.PARSIPPANY, NJ 7054
USA
Phone: 973-829-1000