MCGINN, SMITH & CO., INC.
CRD #8453 SEC #801-70056 ALBANY, NY 518-449-5131
SEC Registered Broker-Dealer
Total AUM
$38.5M
Discretionary
$38.5M
Employees
--
Clients
10
Accounts
121
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 1, 2009
- 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 |
|---|---|---|---|---|
| CHIAPPONE, FRANK HENRY | I | VICE PRESIDENT, SALES MANANGER | NA | |
| CHIAPPONE, FRANK HENRY | I | VICE PRESIDENT, SALES MANANGER | NA | |
| CHIAPPONE, FRANK HENRY | I | VICE PRESIDENT, SALES MANANGER | NA | |
| MAYER, BRIAN TODD | I | VICE PRESIDENT | NA | |
| MAYER, BRIAN TODD | I | VICE PRESIDENT | NA | |
| MAYER, BRIAN TODD | I | VICE PRESIDENT | NA | |
| RABINOVICH, PHILIP STANISLAV | I | VICE PRESIDENT | NA | |
| RABINOVICH, PHILIP STANISLAV | I | VICE PRESIDENT | NA | |
| RABINOVICH, PHILIP STANISLAV | I | VICE PRESIDENT | NA | |
| REES, DAVID PAUL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| REES, DAVID PAUL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SHEA, BRIAN EDWARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SMITH, STEPHEN JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, STEPHEN JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, STEPHEN JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, DAVID LEE | I | PRESIDENT, SENIOR REGISTERED OPTION PRINCIPAL, COMPLIANCE REGISTERED OPTION PRINCIPAL | D | Control |
| SMITH, DAVID LEE | I | PRESIDENT, SENIOR REGISTERED OPTION PRINCIPAL, COMPLIANCE REGISTERED OPTION PRINCIPAL | D | Control |
| SMITH, DAVID LEE | I | PRESIDENT, SENIOR REGISTERED OPTION PRINCIPAL, COMPLIANCE REGISTERED OPTION PRINCIPAL | D | Control |
| MCGINN, TIMOTHY MICHAEL | I | CHAIRMAN OF THE BOARD | C | Control |
| MCGINN, TIMOTHY MICHAEL | I | CHAIRMAN OF THE BOARD | C | Control |
| MCGINN, TIMOTHY MICHAEL | I | CHAIRMAN OF THE BOARD | C | Control |
| LIVINGSTON, THOMAS EDWARD | I | SENIOR VICE PRESIDENT | B | |
| LIVINGSTON, THOMAS EDWARD | I | SENIOR VICE PRESIDENT | B | |
| LIVINGSTON, THOMAS EDWARD | I | SENIOR VICE PRESIDENT | B |
Registrations
Federal
IA
Apr 1, 2009 REGISTERED
Notice Filings (5)
FL NJ NY OH PA
Address
ONE CAPITAL CENTER99 PINE STREET
ALBANY, NY 12207
United States
Phone: 518-449-5131