NATHAN & LEWIS SECURITIES, INC.
CRD #8503 SEC #801-39011 NEW YORK, NY 212-413-4536
SEC Registered Broker-Dealer
Total AUM
$417.9M
Discretionary
$35.9M
Employees
251
Clients
10
Accounts
1,881
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 15, 2002
- 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 |
|---|---|---|---|---|
| BERENGER, RICHARD WALTER | I | MANAGING DIRECTOR OF COMPLIANCE | NA | Control |
| BERENGER, RICHARD WALTER | I | MANAGING DIRECTOR OF COMPLIANCE | NA | Control |
| BERENGER, RICHARD WALTER | I | MANAGING DIRECTOR OF COMPLIANCE | NA | Control |
| BERENGER, RICHARD WALTER | I | MANAGING DIRECTOR OF COMPLIANCE | NA | Control |
| LARKIN, SHERWOOD PETER | I | EXECUTIVE VICE PRESIDENT, SECRETARY & TREASURER | NA | Control |
| LARKIN, SHERWOOD PETER | I | EXECUTIVE VICE PRESIDENT, SECRETARY & TREASURER | NA | Control |
| LARKIN, SHERWOOD PETER | I | EXECUTIVE VICE PRESIDENT, SECRETARY & TREASURER | NA | Control |
| LARKIN, SHERWOOD PETER | I | EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER TREASURER | NA | Control |
| LEWIS, JAY LAWRENCE | I | CHAIRMAN OF THE BOARD & PRESIDENT | NA | Control |
| LEWIS, JAY LAWRENCE | I | CHAIRMAN OF THE BOARD & PRESIDENT | NA | Control |
| LEWIS, JAY LAWRENCE | I | CHAIRMAN OF THE BOARD & PRESIDENT | NA | Control |
| LEWIS, JAY LAWRENCE | I | CHAIRMAN OF THE BOARD & PRESIDENT | NA | Control |
| PETERSEN, ROBERT HENRY | I | VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| NL HOLDING CORP. (DEL) | DE | STOCK HOLDING CO. | E | Control |
| NL HOLDING CORP. (DEL) | DE | STOCK HOLDING CO. | E | Control |
| NL HOLDING CORP. (DEL) | DE | STOCK HOLDING CO. | E | Control |
| NL HOLDING CORP. (DEL) | DE | STOCK HOLDING CO. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MET LIFE NEW ENGLAND HOLDING, INC. | DE | NELIC | E | Control |
| MET LIFE NEW ENGLAND HOLDING, INC. | DE | NELIC | E | Control |
| MET LIFE NEW ENGLAND HOLDING, INC. | DE | NELIC | E | Control |
| MET LIFE NEW ENGLAND HOLDING, INC. | DE | NELIC | E | Control |
| METROPOLITAN LIFE INSURANCE COMPANY | DE | MLNE | E | Control |
| METROPOLITAN LIFE INSURANCE COMPANY | DE | MLNE | E | Control |
| METROPOLITAN LIFE INSURANCE COMPANY | DE | MLNE | E | Control |
| METROPOLITAN LIFE INSURANCE COMPANY | DE | MLNE | E | Control |
| NEW ENGLAND LIFE HOLDINGS, INC (NELH) | DE | NL HOLDING CORP. | E | Control |
| NEW ENGLAND LIFE HOLDINGS, INC (NELH) | DE | NL HOLDING CORP. | E | Control |
| NEW ENGLAND LIFE HOLDINGS, INC (NELH) | DE | NL HOLDING CORP. | E | Control |
| NEW ENGLAND LIFE HOLDINGS, INC (NELH) | DE | NL HOLDING CORP. | E | Control |
| NEW ENGLAND LIFE INSURANCE CO. | DE | STOCKHOLDER OF NELH | E | Control |
| NEW ENGLAND LIFE INSURANCE CO. | DE | STOCKHOLDER OF NELH | E | Control |
| NEW ENGLAND LIFE INSURANCE CO. | DE | STOCKHOLDER OF NELH | E | Control |
| NEW ENGLAND LIFE INSURANCE CO. | DE | STOCKHOLDER OF NELH | E | Control |
Registrations
Federal
IA
Apr 15, 2002 REGISTERED
Notice Filings (40)
AK AL AR CA CO CT DE FL GA IA ID IL IN KS LA MD ME MI MN MO MS MT NC NE NH NM NV NY OK PR RI SC SD TN TX VA VT WA WI WV
Address
RICHARD BERENGER-MANAGING DIRECTOR OF COMPLIANCE260 MADISON AVENUE
NEW YORK, NY 10016
USA
Phone: 212-413-4536