MAHLER & EMERSON INC.
CRD #7826 SEC #801-11233 NEW YORK, NY 212-702-6608
SEC Registered Broker-Dealer Disclosures
Total AUM
$40M
Discretionary
$25M
Employees
6
Clients
11
Accounts
283
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- JANUARY
- Registration Date
- --
- Latest Filing
- Oct 1, 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 |
|---|---|---|---|---|
| PRENSNER, RICHARD WILLIAM | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | NA | |
| PRENSNER, RICHARD WILLIAM | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | NA | |
| PRENSNER, RICHARD WILLIAM | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | NA | |
| PRENSNER, RICHARD WILLIAM | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | NA | |
| MAHLER, HERBERT WILLIAM | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| MAHLER, HERBERT WILLIAM | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | D | Control |
| MAHLER, HERBERT WILLIAM | I | PRESIDENT | D | Control |
| MAHLER, HERBERT WILLIAM | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | D | Control |
| MAHLER, HERBERT WILLIAM | I | PRESIDENT | D | Control |
| MAHLER, HERBERT, WILLIAM | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | D | Control |
| MAHLER, HERBERT, WILLIAM | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | D | Control |
| PRIESING, JOHN W | I | DIRECTOR | B | |
| PRIESING, JOHN W | I | SHAREHOLDER | B | |
| PRIESING, JOHN W | I | SHAREHOLDER | B | |
| PRIESING, JOHN W | I | SHAREHOLDER | B | |
| AL-SULAIMAN, SHEIKH ABDULAZIZ | I | SHAREHOLDER | A | |
| AL-SULAIMAN, SHEIKH ABDULAZIZ | I | SHAREHOLDER | A | |
| OLSON, WILLIAM F | I | DIRECTOR | A | |
| OLSON, WILLIAM F | I | DIRECTOR | A | |
| OLSON, WILLIAM F | I | DIRECTOR | A | |
| OLSON, WILLIAM F | I | DIRECTOR | A | |
| PRIESING, JOHN W | I | DIRECTOR | A | |
| PRIESING, JOHN W | I | DIRECTOR | A | |
| PRIESING, JOHN W | I | DIRECTOR | A |
Registrations
Federal
IA
Oct 1, 2012 REGISTERED
Notice Filings (6)
CA CT FL NJ NY PA
Address
570 LEXINGTON AVENUENEW YORK, NY 10022
United States
Phone: 212-702-6608