RIA Intelligence

HVB CAPITAL MARKETS, INC.

CRD #7789 SEC #801-68566 NEW YORK, NY 212-672-5945
SEC Registered Broker-Dealer
Total AUM
$173.1M
Discretionary
$160.3M
Employees
--
Clients
0
Accounts
164

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 14, 2008
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
DUNN, MATTHEW PAULIDIRECTORNA
DUNN, MATTHEW PAULIDIRECTORNA
FALGER, GABRIELLEISECRETARYNA Control
FALGER, GABRIELLEISECRETARYNA Control
FALGER, GABRIELLEISECRETARYNA Control
LUPO, ANDREW JAMESICHIEF COMPLIANCE OFFICERNA
LUPO, ANDREW JAMESICHIEF COMPLIANCE OFFICERNA
LUPO, ANDREW JAMESICHIEF COMPLIANCE OFFICERNA
MORGAN, DAVID JAMESIPRESIDENTNA
MORGAN, DAVID JAMESIPRESIDENTNA
MORGAN, DAVID JAMESIPRESIDENTNA
SCHUCH, GYULA BELAIDIRECTORNA
SCHUCH, GYULA BELAIDIRECTORNA
SCHUCH, GYULA BELAIDIRECTORNA
SPINDEL, HOWARDIFIN-OPNA
SPINDEL, HOWARDIFIN-OPNA
SPINDEL, HOWARDIFIN-OPNA
HVB U.S. FINANCE INC.DEDIRECT OWNERE Control
HVB U.S. FINANCE INC.DEDIRECT OWNERE Control
HVB U.S. FINANCE INC.DEDIRECT OWNERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
BAYERISCHE HYPO-UND VEREINSBANK AGFEHVB US FINANCE, INC.E Control
BAYERISCHE HYPO-UND VEREINSBANK AGFEHVB US FINANCE, INC.E Control
BAYERISCHE HYPO-UND VEREINSBANK AGFEHVB US FINANCE, INC.E Control
UNICREDITO ITALIANO S.P.A.FEBAYERISCHE HYPO-UND VEREINSBANK AGE Control
UNICREDITO ITALIANO S.P.A.FEBAYERISCHE HYPO-UND VEREINSBANK AGE Control
UNICREDITO ITALIANO S.P.A.FEBAYERISCHE HYPO-UND VEREINSBANK AGE Control

Registrations

Federal

IA
Mar 14, 2008 REGISTERED

Notice Filings (1)

NY

Address

150 EAST 42ND STREET
NEW YORK, NY 10017
USA
Phone: 212-672-5945