TUCKER ANTHONY INCORPORATED
Legal name: TUCKER ANTHONY INC.
CRD #837 SEC #801-24297 NEW YORK, NY 212-225-8455
SEC Registered Broker-Dealer
Total AUM
$1.8B
Discretionary
$900.4M
Employees
501
Clients
0
Accounts
2,520
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 17, 2001
- 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 |
|---|---|---|---|---|
| DONOHUE, MARK GERARD | I | DIRECTOR | NA | Control |
| DONOHUE, MARK GERARD | I | DIRECTOR | NA | Control |
| DONOHUE, MARK GERARD | I | DIRECTOR | NA | Control |
| DONOHUE, MARK GERARD | I | DIRECTOR | NA | Control |
| DONOHUE, MARK GERARD | I | DIRECTOR | NA | Control |
| ETERGINO, ANN MARIE ELIZABETH | I | DIRECTOR | NA | Control |
| ETERGINO, ANN MARIE ELIZABETH | I | DIRECTOR | NA | Control |
| ETERGINO, ANN MARIE ELIZABETH | I | DIRECTOR | NA | Control |
| ETERGINO, ANN MARIE ELIZABETH | I | DIRECTOR | NA | Control |
| ETERGINO, ANN MARIE ELIZABETH | I | DIRECTOR | NA | Control |
| GOLDSMITH, JOHN | I | CHMN/CEO/DIR | NA | Control |
| GOLDSMITH, JOHN | I | CHMN/CEO/DIR | NA | Control |
| GOLDSMITH, JOHN | I | CHMN/CEO/DIR | NA | Control |
| GOLDSMITH, JOHN | I | CHMN/CEO/DIR | NA | Control |
| GOLDSMITH, JOHN | I | CHMN/CEO/DIR | NA | Control |
| LEHRER, ROBERT MELVIN | I | DIRECTOR | NA | Control |
| LEHRER, ROBERT MELVIN | I | DIRECTOR | NA | Control |
| LEHRER, ROBERT MELVIN | I | DIRECTOR | NA | Control |
| LEHRER, ROBERT MELVIN | I | DIRECTOR | NA | Control |
| LEHRER, ROBERT MELVIN | I | DIRECTOR | NA | Control |
| MCKAY, KEVIN JOHN | I | EVP/ASST SECY | NA | |
| MCKAY, KEVIN JOHN | I | EVP/ASST SECY | NA | |
| MCKAY, KEVIN JOHN | I | EVP/ASST SECY | NA | |
| MCKAY, KEVIN JOHN | I | EVP/ASST SECY | NA | |
| MCKAY, KEVIN JOHN | I | EVP/ASST SECY | NA | |
| MENCHEL, MARC | I | EVP/CLO/SECY/DIR | NA | |
| MENCHEL, MARC | I | EVP/CLO/SECY/DIR | NA | |
| MENCHEL, MARC | I | EVP/CLO/SECY/DIR | NA | |
| MENCHEL, MARC | I | EVP/CLO/SECY/DIR | NA | |
| MENCHEL, MARC | I | EVP/CLO/SECY/DIR | NA | |
| MULLIN, JOHN BRIAN | I | CFO/TREASURER | NA | |
| MULLIN, JOHN BRIAN | I | CFO/TREASURER | NA | |
| MULLIN, JOHN BRIAN | I | CFO/TREASURER | NA | |
| MULLIN, JOHN BRIAN | I | CFO/TREASURER | NA | |
| MULLIN, JOHN BRIAN | I | CFO/TREASURER | NA | |
| NYDEGGER, RICHARD FREDERICK | I | DIRECTOR | NA | Control |
| NYDEGGER, RICHARD FREDERICK | I | DIRECTOR | NA | Control |
| NYDEGGER, RICHARD FREDERICK | I | DIRECTOR | NA | Control |
| NYDEGGER, RICHARD FREDERICK | I | DIRECTOR | NA | Control |
| NYDEGGER, RICHARD FREDERICK | I | DIRECTOR | NA | Control |
| RIDGE, THOMAS VINCENT | I | EVP/DIRECTOR | NA | Control |
| RIDGE, THOMAS VINCENT | I | EVP/DIRECTOR | NA | Control |
| ROUSE, MICHAEL JOSEPH | I | SROP | NA | |
| ROUSE, MICHAEL JOSEPH | I | SROP | NA | |
| ROUSE, MICHAEL JOSEPH | I | SROP | NA | |
| ROUSE, MICHAEL JOSEPH | I | SROP | NA | |
| ROUSE, MICHAEL JOSEPH | I | SROP | NA | |
| RUIMERMAN, JACOB FRANCIS | I | DIRECTOR | NA | Control |
| RUIMERMAN, JACOB FRANCIS | I | DIRECTOR | NA | Control |
| RUIMERMAN, JACOB FRANCIS | I | DIRECTOR | NA | Control |
| RUIMERMAN, JACOB FRANCIS | I | DIRECTOR | NA | Control |
| RUIMERMAN, JACOB FRANCIS | I | DIRECTOR | NA | Control |
| SULLIVAN, TIMOTHY PATRICK | I | DIRECTOR | NA | Control |
| SULLIVAN, TIMOTHY PATRICK | I | DIRECTOR | NA | Control |
| SULLIVAN, TIMOTHY PATRICK | I | DIRECTOR | NA | Control |
| SULLIVAN, TIMOTHY PATRICK | I | DIRECTOR | NA | Control |
| SULLIVAN, TIMOTHY PATRICK | I | DIRECTOR | NA | Control |
| TRICOLLI, JAMES JOHN | I | DIRECTOR | NA | Control |
| TRICOLLI, JAMES JOHN | I | DIRECTOR | NA | Control |
| TRICOLLI, JAMES JOHN | I | DIRECTOR | NA | Control |
| TRICOLLI, JAMES JOHN | I | DIRECTOR | NA | Control |
| TRICOLLI, JAMES JOHN | I | DIRECTOR | NA | Control |
| VERGA, ANTHONY MATTHEW | I | CCO/CROP | NA | |
| VERGA, ANTHONY MATTHEW | I | CCO/CROP | NA | |
| VERGA, ANTHONY MATTHEW | I | CCO/CROP | NA | |
| VERGA, ANTHONY MATTHEW | I | CCO/CROP | NA | |
| VERGA, ANTHONY MATTHEW | I | CCO/CROP | NA | |
| YEVICH, ROBERT HUDSCO | I | PRES/COO/DIR | NA | Control |
| YEVICH, ROBERT HUDSCO | I | PRES/COO/DIR | NA | Control |
| YEVICH, ROBERT HUDSCO | I | DIRECTOR | NA | Control |
| YEVICH, ROBERT HUDSCO | I | DIRECTOR | NA | Control |
| YEVICH, ROBERT HUDSCO | I | DIRECTOR | NA | Control |
| TUCKER ANTHONY HOLDING CORP. | DE | N/A | E | Control |
| TUCKER ANTHONY HOLDING CORP. | DE | N/A | E | Control |
| TUCKER ANTHONY HOLDING CORP. | DE | N/A | E | Control |
| TUCKER ANTHONY HOLDING CORP. | DE | N/A | E | Control |
| TUCKER ANTHONY HOLDING CORP. | DE | N/A | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FREEDOM SECURITIES HOLDING CORPORATION (FSHC) | DE | TUCKER ANTHONY HOLDING CORP | E | Control |
| FREEDOM SECURITIES HOLDING CORPORATION (FSHC) | DE | TUCKER ANTHONY HOLDING CORP | E | Control |
| FREEDOM SECURITIES HOLDING CORPORATION (FSHC) | DE | TUCKER ANTHONY HOLDING CORP | E | Control |
| FREEDOM SECURITIES HOLDING CORPORATION (FSHC) | DE | TUCKER ANTHONY HOLDING CORP | E | Control |
| FREEDOM SECURITIES HOLDING CORPORATION (FSHC) | DE | TUCKER ANTHONY HOLDING CORP | E | Control |
| TUCKER ANTHONY SUTRO (TA) | DE | FSHC | E | Control |
| TUCKER ANTHONY SUTRO (TA) | DE | FSHC | E | Control |
| TUCKER ANTHONY SUTRO (TA) | DE | FSHC | E | Control |
| TUCKER ANTHONY SUTRO (TA) | DE | FSHC | E | Control |
| TUCKER ANTHONY SUTRO (TA) | DE | FSHC | E | Control |
| EMPLOYEE SHAREHOLDERS COLLECTIVE | DE | TAS | C | |
| EMPLOYEE SHAREHOLDERS COLLECTIVE | DE | TAS | C | |
| EMPLOYEE SHAREHOLDERS COLLECTIVE | DE | TAS | C | |
| EMPLOYEE SHAREHOLDERS COLLECTIVE | DE | TAS | C | |
| EMPLOYEE SHAREHOLDERS COLLECTIVE | DE | TAS | C |
Registrations
Federal
IA
Aug 17, 2001 REGISTERED
Notice Filings (24)
AL CA CT DC DE ID IL IN KS MD ME MI MN MS ND NE OH RI SC TX VA VT WA WI
Address
1 WORLD FINANCIAL CENTERNEW YORK, NY 10281
USA
Phone: 212-225-8455