Zak Investment Management Company, LLC. Brochure Supplement Dated April 26, 2011

Size: px
Start display at page:

Download "Zak Investment Management Company, LLC. Brochure Supplement Dated April 26, 2011"

Transcription

1 Item 1 Cover Page A. William Nathan Zak Zak Investment Management Company, LLC Brochure Supplement Dated April 26, 2011 B. Contact: William Nathan Zak, Chief Compliance Officer 229 West Bute Street, Suite 210 Norfolk, Virginia This brochure supplement provides information about William Nathan Zak that supplements the Zak Investment Management Company, LLC brochure. You should have received a copy of that brochure. Please contact William Nathan Zak, Chief Compliance Officer if you did not receive Zak Investment Management Company, LLC s brochure or if you have any questions about the contents of this supplement. Additional information about William Nathan Zak is available on the SEC s website at Item 2 Education Background and Business Experience William Nathan Zak was born in Mr. Zak graduated from Wake Forest University in 1995, with a degree in Economics. Mr. Zak has served as President and Chief Investment Officer of Zak Investment Management Company, LLC since June of From October 2000 to June of 2007 Mr. Zak was employed as a Portfolio Manager with SunTrust Bank. Mr. Zak has been a Chartered Financial Analyst (CFA ) since CFA designates an international professional certificate that is offered by the CFA Institute. Candidates that pursue the certification have in-depth knowledge of securities types and investment vehicles. In order to qualify for a CFA, candidates must meet standards for examination, education, experience, and ethics. First, candidates must possess a bachelor s degree from an accredited school, or its equivalent. Second, candidates must have completed 48 months of qualified professional work

2 experience, generally related to evaluating or applying financial, economic, and/or statistical data as part of the investment decision-making process involving securities or similar investment. Third, candidates must pass a series of three six-hour exams that covers ethics, quantitative methods, economics, corporate finance, financial reporting and analysis, security analysis, and portfolio management. Finally, candidates must meet and continue to adhere to a strict Code of Ethics and Standards governing their professional conduct, as reviewed by the CFA Institute. Item 3 Disciplinary Information Item 4 Other Business Activities A. The supervised person is not actively engaged in any other investment-related businesses or occupations. B. The supervised person is not actively engaged in any non-investment-related business or occupation for compensation. Item 5 Additional Compensation Item 6 Supervision The Registrant provides investment advisory and supervisory services in accordance with current state regulatory requirements. The Registrant s Chief Compliance Officer, William Nathan Zak, is primarily responsible for overseeing the activities of the Registrant s supervised persons. Mr. Zak also monitors accounts and conducts account reviews on at least an annual basis. Should a client have any questions regarding the Registrant s supervision or compliance practices, please contact Mr. Zak at (757) Item 7 State-Registered Investment Advisors A. Mr. Zak has never been involved in an arbitration proceeding or a civil, self-regulatory, or administrative proceeding. B. Mr. Zak has never been the subject of a bankruptcy petition.

3 Item 1 Cover Page A. Aidis Zunde Zak Investment Management Company, LLC Brochure Supplement Dated April 26, 2011 B. Contact: William Nathan Zak, Chief Compliance Officer 229 West Bute Street, Suite 210 Norfolk, Virginia This brochure supplement provides information about Aidis Zunde that supplements the Zak Investment Management Company, LLC brochure. You should have received a copy of that brochure. Please contact William Nathan Zak, Chief Compliance Officer if you did not receive Zak Investment Management Company, LLC s brochure or if you have any questions about the contents of this supplement. Additional information about Aidis Zunde is available on the SEC s website at Item 2 Education Background and Business Experience Aidis Zunde was born in Mr. Zunde graduated from United States Military Academy in 1984, with a Bachelors Degree. Mr. Zunde graduated from The University of Warsaw in 1997, a Masters degree in International Economics. Mr. Zunde graduated from USA Command General Staff College in 1998, with a Masters of Military Science. Mr. Zunde has been employed as an investment adviser representative of Zak Investment Management Company, LLC since October of Mr. Zunde has also been employed as a Senior Program Manager at Lockheed Martin Corporation since December of From February of 2007 to November of 2009 Mr. Zunde was employed as a Consultant at Whitney Bradley & Brown. From November of 2009 to December of 2009 Mr. Zunde was employed as a Consultant at Yorktown Systems Group.

4 From September of 2007 to September of 2008 Mr. Zunde was employed as Investment Director at Vestopia. From May of 1984 to January of 2007 Mr. Zunde served as an Officer in the United States Army, Item 3 Disciplinary Information Item 4 Other Business Activities A. The supervised person is not actively engaged in any other investment-related businesses or occupations. B. Since December 30, 2009 Mr. Zunde is a Senior Program Manager at Lockheed Martin Corporation, located at 6021 University Blvd., Ellicott City, MD Mr. Zunde is responsible for the management of the JIEDDO operational support services contract. And he spends the majority of his time working for Lockheed Martin. Item 5 Additional Compensation Item 6 Supervision The Registrant provides investment advisory and supervisory services in accordance with current state regulatory requirements. The Registrant s Chief Compliance Officer, William Nathan Zak, is primarily responsible for overseeing the activities of the Registrant s supervised persons. Mr. Zak also monitors accounts and conducts account reviews on at least an annual basis. Should a client have any questions regarding the Registrant s supervision or compliance practices, please contact Mr. Zak at (757) Item 7 State-Registered Investment Advisors A. Mr. Zunde has never been involved in an arbitration proceeding or a civil, self-regulatory, or administrative proceeding. B. Mr. Zunde has never been the subject of a bankruptcy petition.

5 Item 1 Cover Page A. Ryan Mounaime Zak Investment Management Company, LLC Brochure Supplement Dated April 26, 2011 B. Contact: William Nathan Zak, Chief Compliance Officer 229 West Bute Street, Suite 210 Norfolk, Virginia This brochure supplement provides information about Ryan Mounaime that supplements the Zak Investment Management Company, LLC brochure. You should have received a copy of that brochure. Please contact William Nathan Zak, Chief Compliance Officer if you did not receive Zak Investment Management Company, LLC s brochure or if you have any questions about the contents of this supplement. Additional information about Ryan Mounaime is available on the SEC s website at Item 2 Education Background and Business Experience Ryan Mounaime was born in Mr. Mounaime graduated from The University of Virginia in 2009, with a degree in Psychology. Mr. Mounaime has been employed as an investment adviser representative of Zak Investment Management Company, LLC since July of From January 2010 to May of 2010 Mr. Mounaime was employed as an intern of Merrill Lynch. Item 3 Disciplinary Information

6 Item 4 Other Business Activities A. The supervised person is not actively engaged in any other investment-related businesses or occupations. B. The supervised person is not actively engaged in any non-investment-related business or occupation for compensation. Item 5 Additional Compensation Item 6 Supervision The Registrant provides investment advisory and supervisory services in accordance with current state regulatory requirements. The Registrant s Chief Compliance Officer, William Nathan Zak, is primarily responsible for overseeing the activities of the Registrant s supervised persons. Mr. Zak also monitors accounts and conducts account reviews on at least an annual basis. Should a client have any questions regarding the Registrant s supervision or compliance practices, please contact Mr. Zak at (757) Item 7 State-Registered Investment Advisors A. Mr. Mounaime has never been involved in an arbitration proceeding or a civil, selfregulatory, or administrative proceeding. B. Mr. Mounaime has never been the subject of a bankruptcy petition.

Dean Capital Management, LLC

Dean Capital Management, LLC Dean Capital Management, LLC 7400 West 130th St., Suite 350 Overland Park, KS 66213 Telephone: (913) 944-4444 Web Address: www.deancapmgmt.com March 6, 2017 Part 2B of Form ADV: Firm Brochure Supplement

More information

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. Peter G. Gerry III James Haley, CFP Alan E. Johnson, CFP

More information

Part 2B of Form ADV: Brochure Supplement. Mariko O. Gordon, CFA Founder, Chief Executive Officer and Chief Investment Officer

Part 2B of Form ADV: Brochure Supplement. Mariko O. Gordon, CFA Founder, Chief Executive Officer and Chief Investment Officer Item 1 - Cover Page Part 2B of Form ADV: Brochure Supplement Mariko O. Gordon, CFA Founder, Chief Executive Officer and Chief Investment Officer Daruma Asset Management, Inc. 80 West 40 th Street 9 th

More information

* Robert G. Smith, III AIF & CIMC * Mark C. MacQueen * Thomas H. Urano, CFA * Jeffery S. Timlin, CFA, CMT * Robert D.

* Robert G. Smith, III AIF & CIMC * Mark C. MacQueen * Thomas H. Urano, CFA * Jeffery S. Timlin, CFA, CMT * Robert D. Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page Part 2B of Form ADV: Brochure Supplement * Robert G. Smith, III AIF & CIMC * Mark C. MacQueen * Thomas H. Urano, CFA * Jeffery S. Timlin, CFA,

More information

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. John C. Cheshire III Peter G. Gerry III James Haley, CFP

More information

Stellar Capital Management, LLC

Stellar Capital Management, LLC Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 30, 2017 This Brochure Supplement provides information

More information

Taxable Fixed Income Leadership Team

Taxable Fixed Income Leadership Team PNC Capital Advisors LLC PNC Harbor Place One East Pratt Street Fifth Floor - East Baltimore, MD 21202 410-237-5683 www.pnccapitaladvisors.com Form ADV Part 2B March 16, 2018 Taxable Fixed Income Leadership

More information

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. John C. Cheshire, III Peter G. Gerry, III James Haley, CFP

More information

Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO,

Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, October 1, 2013 Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, 65801-2202 www.bkdwa.com Advisors presented in this supplement: Rhonda Christopher Michael Blumreich Leia

More information

Form ADV Part 2B November 21, 2018

Form ADV Part 2B November 21, 2018 PNC Capital Advisors LLC PNC Harbor Place One East Pratt Street Fifth Floor - East Baltimore, MD 21202 www.pnccapitaladvisors.com Form ADV Part 2B November 21, 2018 Municipal Fixed Income Management Team

More information

Part 2B of Form ADV Brochure Supplement

Part 2B of Form ADV Brochure Supplement Item 1 Cover Page Part 2B of Form ADV Brochure Supplement Joshua J. Honeycutt March 9, 2018 MAR VISTA INVESTMENT PARTNERS, LLC 11150 Santa Monica Boulevard, Suite 320 Los Angeles, CA 90025 (310) 917-2800

More information

Seth Eric Shalov. MAI Capital Management, LLC. Form ADV, Part 2B Brochure Supplement

Seth Eric Shalov. MAI Capital Management, LLC. Form ADV, Part 2B Brochure Supplement Seth Eric Shalov MAI Capital Management, LLC 1360 East 9th St, Ste 1100 Cleveland, OH 44114-1782 (216) 920-4800 Form ADV, Part 2B Brochure Supplement January 1, 2016 This brochure supplement provides information

More information

GRAY EQUITY MANAGEMENT LLC 150 ROYALL STREET, SUITE 102 CANTON, MA (781) (781)

GRAY EQUITY MANAGEMENT LLC 150 ROYALL STREET, SUITE 102 CANTON, MA (781) (781) GRAY EQUITY MANAGEMENT LLC 150 ROYALL STREET, SUITE 102 CANTON, MA 02021 (781) 407-0303 www.grayequitymanagement.com This brochure provides information about Daniel Romano, Paul Gerry, Jr., James Branch

More information

FORM ADV PART 2B BROCHURE SUPPLEMENT. South Texas Money Management, Ltd.

FORM ADV PART 2B BROCHURE SUPPLEMENT. South Texas Money Management, Ltd. FORM ADV PART 2B BROCHURE SUPPLEMENT South Texas Money Management, Ltd. 700 N. St. Mary s Street, Suite 100 San Antonio, Texas 78205 (210) 824-8916 (210) 824-8718 (Fax) www.stmmltd.com March 29, 2019 This

More information

Form ADV Part 2B: Supplemental Information for. Donald P. Gould. March 23, 2011

Form ADV Part 2B: Supplemental Information for. Donald P. Gould. March 23, 2011 Item 1 Cover Page Gould Asset Management LLC 341 West First Street, Suite 200 Claremont, CA 91711 (909) 445-1291 www.gouldasset.com Form ADV Part 2B: Supplemental Information for Donald P. Gould March

More information

Form ADV Part 2B. Brochure Supplement. James B. Lebenthal. 521 Fifth Ave., 15 th Floor. New York, NY

Form ADV Part 2B. Brochure Supplement. James B. Lebenthal. 521 Fifth Ave., 15 th Floor. New York, NY Form ADV Part 2B Brochure Supplement Alexandra Lebenthal 212 490 1682 James B. Lebenthal 212 490 1947 Michelle M. Smith 212 697 3689 John B. Carey 212 490 1970 Gregory W. Serbe 212 697 3659 Corinne Smith

More information

BROCHURE SUPPLEMENTS (ADV PART 2B)

BROCHURE SUPPLEMENTS (ADV PART 2B) BROCHURE SUPPLEMENTS 2018470 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part

More information

Additional information about Turner Investments, L.P. is available on the SEC s website at

Additional information about Turner Investments, L.P. is available on the SEC s website at Form ADV Part 2B Brochure Supplement John P. Fraunces, Jr. Christopher K. McHugh Peter J. Niedland, CFA Jason D. Schrotberger, CFA Scott C. Swickard, CFA Mark D. Turner Robert E. Turner, CFA Turner Investments,

More information

Additional information about Christopher Wootton is available on the SEC s Web site at

Additional information about Christopher Wootton is available on the SEC s Web site at Christopher Wootton ChFC CRD #5428911 Common Wealth Centre 2040 North Loop 336W, Suite 125 Conroe, TX 77304 This Brochure Supplement provides information about Christopher Wootton that supplements the

More information

Our Team Advisory Personnel

Our Team Advisory Personnel Our Team Advisory Personnel Brochure Supplement Douglas A. Neimann President and Chief Investment Officer Eric L. Pirkl Investment Manager Deborah D. Weiss Managing Director, Okabena Advisors Thomas B.

More information

Spencer McGowan. McGowan Group Asset Management, Inc. 200 Crescent Court, Suite #657 Dallas, TX 75201

Spencer McGowan. McGowan Group Asset Management, Inc. 200 Crescent Court, Suite #657 Dallas, TX 75201 Item 1: Cover Page for Part 2B of Form ADV: Brochure Supplement March 2014 Spencer McGowan McGowan Group Asset Management, Inc. 200 Crescent Court, Suite #657 Dallas, TX 75201 Firm Contact: Bobby D. Boyce,

More information

Additional information about Thomas Peter Limberger is available on the SEC s website at

Additional information about Thomas Peter Limberger is available on the SEC s website at Form ADV Part 2B Item 1 Cover Page A. Thomas Peter Limberger CRD # 6803183 SilverArrow Capital Americas, LLC ADV Part 2B, Brochure Supplement Dated: August 27, 2018 Contact: Robert Schimanko, Chief Compliance

More information

Trevor Holsinger Aspen Wealth Management, Inc.

Trevor Holsinger Aspen Wealth Management, Inc. Item 1- Cover Page Trevor Holsinger Aspen Wealth Management, Inc. 7300 College Blvd, Suite 306 Overland Park, KS 66210 (913) 491-0500 This brochure supplement provides information about Trevor Holsinger

More information

FORM ADV PART 2B BROCHURE SUPPLEMENT JULY 1, 2018 JOHN HEILNER

FORM ADV PART 2B BROCHURE SUPPLEMENT JULY 1, 2018 JOHN HEILNER FORM ADV PART 2B BROCHURE SUPPLEMENT JULY 1, 2018 JOHN HEILNER CHIEF INVESTMENT OFFICER INVESTMENT ADVISOR REPRESENTATIVE Phone: (800) 825-0616 Email: jheilner@wtwealthmanagement.com Address: 7161 E. Rancho

More information

DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT

DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT MARCH 28, 2019 SCHULTZ COLLINS, INC. INVESTMENT COUNSEL 455 Market Street, Suite 1250 San Francisco, California 94105 TELEPHONE: 415.291.3000

More information

702 King Farm Blvd. Suite 400. Rockville, MD Tel Fax: BROCHURE SUPPLEMENT

702 King Farm Blvd. Suite 400. Rockville, MD Tel Fax: BROCHURE SUPPLEMENT 702 King Farm Blvd. Suite 400 Rockville, MD 20850 Tel. 301.556.0500 Fax: 301.556.0491 www.issgovernance.com BROCHURE SUPPLEMENT This Brochure Supplement provides biographical information about the five

More information

FORM ADV PART 2B BROCHURE SUPPLEMENT FOR THE EXECUTIVE OFFICERS OF WEALTHCARE CAPITAL MANAGEMENT, INC.

FORM ADV PART 2B BROCHURE SUPPLEMENT FOR THE EXECUTIVE OFFICERS OF WEALTHCARE CAPITAL MANAGEMENT, INC. FORM ADV PART 2B BROCHURE SUPPLEMENT FOR THE EXECUTIVE OFFICERS OF WEALTHCARE CAPITAL MANAGEMENT, INC. David Loeper, CIMA, CIMC Robert Wilson Karen Nelson Perry Chesney, CFP, CIMA Brandy N. Weiberg AND

More information

Cover Page. Confluence Investment Management LLC Investment Team

Cover Page. Confluence Investment Management LLC Investment Team Cover Page This brochure supplement provides information about Confluence s Investment Team personnel that supplements the Confluence brochure. You should have received a copy of that brochure. Please

More information

CUMBERLAND ADVISORS ADV PART 2 B Revised 3/1/2017 Table of Contents

CUMBERLAND ADVISORS ADV PART 2 B Revised 3/1/2017 Table of Contents CUMBERLAND ADVISORS Revised 3/1/2017 Table of Contents Page # David R. Kotok 2 John R. Mousseau 4 Robert Eisenbeis 6 William Witherell 8 Michael McNiven 10 Matthew C. McAleer 12 Robert R. Malvenda 14 Shaun

More information

Form ADV Part 2B Individual Disclosure Brochure. Alyssa Rakovich AIF

Form ADV Part 2B Individual Disclosure Brochure. Alyssa Rakovich AIF This brochure supplement provides information about Alyssa Rakovich that supplements the NAMCOA- Naples Asset Management Co., LLC brochure. You should have received a copy of that brochure. Please contact

More information

Supplement to Form ADV Part 2 Form ADV Part 2B

Supplement to Form ADV Part 2 Form ADV Part 2B Item 1- Cover Page Supplement to Form ADV Part 2 Form ADV Part 2B (for each of the Supervised Persons Listed in Item 2 below) Lazard Wealth Management LLC 30 Rockefeller Plaza New York, New York 10112

More information

David Vurgait. StateTrust Capital, LLC. 800 Brickell Avenue, Suite 100 Miami, Florida

David Vurgait. StateTrust Capital, LLC. 800 Brickell Avenue, Suite 100 Miami, Florida David Vurgait StateTrust Capital, LLC 800 Brickell Avenue, Suite 100 Miami, Florida 33131 305-921-8100 February 8, 2018 This Brochure Supplement provides information about David Vurgait that supplements

More information

BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement

BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement Corporate Office: One Preserve Parkway Suite 610 Rockville, MD 20852 www.belr.com September 8, 2017 This Brochure Supplement provides information

More information

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students RCA MISSION Protect investors and financial markets as the exclusive authority for compliance education, training, accreditation, certification, skills assessment, and employee development. 1 WHO WE SERVE

More information

SPEAKERS A S H A B A N G A L O R E

SPEAKERS A S H A B A N G A L O R E SPEAKERS ASHA BANGALORE Vice President Economist Asha has been an economist with Northern Trust since 1994. Prior to joining Northern Trust, she was a consultant to savings and loan institutions and commercial

More information

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m.

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. Compliance and business supervision roles are becoming difficult to differentiate.

More information

CFA Society Cleveland Mock Exam

CFA Society Cleveland Mock Exam Page 1 of 6 April 17, 2014 Join us for many exciting events coming up at The City Club... April 23rd, Joe Becker, Invesco Powershares, Fixed Income Market Strategy April 30th, Robert Doll, Nuveen Asset

More information

Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m.

Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m. Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m. This session discusses the current trends in, and their potential implications for, the fixed income markets and how

More information

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m.

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. This Back to Basics Compliance session focuses on what you can expect during a FINRA cycle examination.

More information

BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement

BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement BRONFMAN E.L. ROTHSCHILD, L.P. Part 2B Brochure Supplement Corporate Office: One Preserve Parkway Suite 610 Rockville, MD 20852 www.belr.com June 21, 2018 This Brochure Supplement provides information

More information

Management Bios. Michael P. Norcio, Chairman and CEO

Management Bios. Michael P. Norcio, Chairman and CEO Michael P. Norcio, Chairman and CEO Michael P. Norcio is the Chairman and Chief Executive Officer of MAR, Incorporated (MAR), headquartered in Rockville, Maryland. MAR, Incorporated is a professional services

More information

PART 2B FORM ADV. Updated November 4, 2015 LASALLE INVESTMENT MANAGEMENT, INC. 333 WEST WACKER DRIVE, SUITE 2300 CHICAGO, ILLINOIS 60606

PART 2B FORM ADV. Updated November 4, 2015 LASALLE INVESTMENT MANAGEMENT, INC. 333 WEST WACKER DRIVE, SUITE 2300 CHICAGO, ILLINOIS 60606 PART 2B FORM ADV Updated November 4, 2015 LASALLE INVESTMENT MANAGEMENT, INC. 333 WEST WACKER DRIVE, SUITE 2300 CHICAGO, ILLINOIS 60606 +1 (312) 897-4000 www.lasalle.com This brochure provides information

More information

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke joined American Beacon Advisors in November 2016 as a vice president, National ETF Sales. Ms. Burke works in partnership with the American

More information

Smith A. Brownlie III, CPA

Smith A. Brownlie III, CPA Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to

More information

Our Team. Specialists in financial and estate planning, investment research, portfolio management and client service

Our Team. Specialists in financial and estate planning, investment research, portfolio management and client service Our Team Specialists in financial and estate planning, investment research, portfolio management and client service Where planning, investing and behavioral finance meet The Stan Clark Financial Team Stan

More information

Speakers Bio: Jenny Tian Managing Director

Speakers Bio: Jenny Tian Managing Director Speakers Bio: Jenny Tian Managing Director Jenny has been in the investment management industry for most of her career which started in 1998. Prior to her current roles in the Springs Capital top management

More information

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m.

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Join industry practitioners and FINRA staff as they cover the key requirements of the outside business

More information

Internal Governance within the Banking Industry: Issues and Developments MALTA April 2013

Internal Governance within the Banking Industry: Issues and Developments MALTA April 2013 Seminar on Internal Governance within the Banking Industry: Issues and Developments MALTA 15-16 April 2013 Description The Seminar is primarily intended to provide participants with the opportunity to

More information

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m.

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. During this session, FINRA moderates a discussion with seasoned small firm business owners about the common

More information

Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI July 29, 2011

Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI July 29, 2011 Item 1- Cover Page Michael J. Steppe William H. Bergner Lora J. Olenchek Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI 53005 262-785-6751 July 29, 2011 This Brochure

More information

Smith A. Brownlie III, CPA

Smith A. Brownlie III, CPA Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to

More information

Candidate Profile Form District Committee Election Joel Glasco

Candidate Profile Form District Committee Election Joel Glasco Candidate Profile Form District Committee Election Joel Glasco Candidate Name: Title: Managing Director - Market Manager Firm: Wells Fargo Adviso Candidate Biography and Personal Statement Candidate Biography

More information

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m.

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. During this session, panelists answer your questions related to the fixed income regulatory landscape. Panelists also address

More information

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018 Election Notice Notice of Election and Ballots for FINRA Small Firm NAC Member Seat Ballots Due: November 15, 2018 October 16, 2018 Suggested Routing Executive Representatives Senior Management Executive

More information

Andrea Joyce Wagner. Areas of Expertise

Andrea Joyce Wagner. Areas of Expertise Andrea Joyce Wagner Actively involved in the securities industry since the early 1980's. Former Executive Vice President, Director of Compliance, Member Executive Management Committee, Risk Management

More information

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Email: hamils25@nationwide.com Direct: 614.249.0935 Steve has over 30 years of experience in the financial services industry.

More information

James R. Cotto Corporate Client Group Director Senior Vice President Senior Investment Management Consultant Wealth Management for Entertainers and

James R. Cotto Corporate Client Group Director Senior Vice President Senior Investment Management Consultant Wealth Management for Entertainers and James R. Cotto Corporate Client Group Director Senior Vice President Senior Investment Management Consultant Wealth Management for Entertainers and Professional Athletes 2000 Westchester Ave 1NC Purchase,

More information

PI Strategic Investment Research Group

PI Strategic Investment Research Group PI Strategic Investment Research Group Investment Research James G. Russell, CFA, Senior Vice President and Director, Strategic Investment Research Group Mr. Russell joined Prudential Investments in January

More information

Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m.

Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m. Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m. FINRA senior staff provides updates on regulatory key issues, enforcement and hot topics facing the industry. They address questions relating to

More information

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc., and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible

More information

Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m.

Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. This session is designed for compliance professionals who are new to the financial services

More information

LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101

LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101 LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101 BACKGROUND Lisa Roth is the of Monahan & Roth, LLC, a regulatory compliance company providing services including professional consultations,

More information

Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m.

Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Join FINRA staff and industry practitioners as they discuss effective processes

More information

The Greenspan Group at Morgan Stanley Smith Barney

The Greenspan Group at Morgan Stanley Smith Barney The Greenspan Group at Morgan Stanley Smith Barney 7500 Old Georgetown Road 10th Floor, Bethesda, Maryland 20814 301-961-2640 / Main 800-745-4503 x2640 / Toll-Free 240-235-4448 / fax ira.greenspan@mssb.com

More information

The Promise and Prospect of a new Fiduciary Environment

The Promise and Prospect of a new Fiduciary Environment YOUR GUIDE TO GLOBAL FIDUCIARY INSIGHTS The Promise and Prospect of a new Fiduciary Environment Blaine Aikin & Kristina Fausti Topics Proposals for a fiduciary standard Proposals for regulatory oversight

More information

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m.

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Outside business activities (OBAs) and private securities transactions (PSTs)

More information

Join us for many exciting events coming up at The City Club...

Join us for many exciting events coming up at The City Club... Page 1 of 5 March 31st, 2014 Join us for many exciting events coming up at The City Club... April 9th, Elizabeth Allen, Federal Express, Company Update April 16th, Joe Miskel, F-Squared April 23rd, Joe

More information

The Williams Benson Group at Morgan Stanley Smith Barney

The Williams Benson Group at Morgan Stanley Smith Barney The Williams Benson Group at Morgan Stanley Smith Barney Our Mission We strive to bring a boutique level of service to our clients by operating as a firm within the firm. We believe this is best achieved

More information

AIM for Wall Street ADVANCED INVESTMENT MANAGEMENT COURSE. A two-week intensive seminar taught by top Wall Street investment professionals

AIM for Wall Street ADVANCED INVESTMENT MANAGEMENT COURSE. A two-week intensive seminar taught by top Wall Street investment professionals AIM for Wall Street ADVANCED INVESTMENT MANAGEMENT COURSE A two-week intensive seminar taught by top Wall Street investment professionals Presented by the CQA Institute at Wilkes University May 20 to June

More information

SEI Appendix A Team Biographies

SEI Appendix A Team Biographies SEI Appendix A Team Biographies TEAM BIOGRAPHIES Mark T. Morgan, CFA Client Portfolio Manager Institutional Group Client Portfolio Management Team (Chicago, Illinois) Mark Morgan serves as a Client Portfolio

More information

Wealth Planning Investment Management Insurance for Family and Business

Wealth Planning Investment Management Insurance for Family and Business Wealth Planning Investment Management Insurance for Family and Business Our Story Because we knew we could do better for our clients As two established Financial Advisors from Merrill Lynch, we set out

More information

Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m.

Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m. Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m. FINRA and industry experts discuss the guidance provided in FINRA Regulatory Notice 17-18. Panelists address how firms have implemented

More information

In the Matter of the Association of Alfred G. Block (CRD # ) with Buckman, Buckman & Reid, Inc. (CRD # 23407)

In the Matter of the Association of Alfred G. Block (CRD # ) with Buckman, Buckman & Reid, Inc. (CRD # 23407) Lorraine Lee-Stepney Manager Statutory Disqualification Program Regulatory Operations, Shared Services Phone: 202-728-8442 Fax: 202-728-8441 lorraine.lee@finra.org Via Electronic Mail Mr. Brent J. Fields

More information

The Berkheimer Group at Morgan Stanley

The Berkheimer Group at Morgan Stanley The Berkheimer Group at Morgan Stanley 30 West Patrick Street 7th Floor, Frederick, MD 21701 301-663-8833 / MAIN 800-634-0072 / TOLL-FREE 301-663-4798 / FAX theberkheimergroup@morganstanley.com Managing

More information

9200 Indian Creek Parkway Building 9 Suite 600 Overland Park, Kansas ADV PART II B

9200 Indian Creek Parkway Building 9 Suite 600 Overland Park, Kansas ADV PART II B 9200 Indian Creek Parkway Building 9 Suite 600 Overland Park, Kansas 66210 913-451-2254 ADV PART II B This brochure supplement contains information about the members named on this page. You have received

More information

Viking Advisory Group. Company Presentation September 2011

Viking Advisory Group. Company Presentation September 2011 Viking Advisory Group Company Presentation September 2011 Viking Advisory Group Mission To offer value added, high quality services within the disciplines of financial management, accounting, legal, insurance,

More information

Abdulaziz Alajaji, Managing Director

Abdulaziz Alajaji, Managing Director Abdulaziz Alajaji, Managing Director Chief Executive Officer Mr. Abdulaziz Alajaji is the CEO of Morgan Stanley Saudi Arabia. He joined Morgan Stanley in June 2017. As a CEO, he is responsible for all

More information

David R. Bell. Adam D. Brown. Nathan M. Brown. Aaron T. Cincotta

David R. Bell. Adam D. Brown. Nathan M. Brown. Aaron T. Cincotta David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc. and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible

More information

GARY GOLDBERG PLANNING SERVICES, INC.

GARY GOLDBERG PLANNING SERVICES, INC. GARY GOLDBERG PLANNING SERVICES, INC. BROCHURE SUPPLEMENT JULY 30, 2013 FORM ADV PART 2B This brochure supplement provides information about the named individuals that supplements the Gary Goldberg Planning

More information

The Hanover Group at Morgan Stanley Smith Barney

The Hanover Group at Morgan Stanley Smith Barney The Hanover Group at Morgan Stanley Smith Barney 203 Heater Road Lebanon, New Hampshire 03766 603-442-7900 / Main 800-829-5232 / Toll-Free 603-442-7988 / fax www.fa.smithbarney.com/ hanovergroup thehanovergroup@mssb.com

More information

The Abbott Group at Morgan Stanley We Provide Solutions

The Abbott Group at Morgan Stanley We Provide Solutions The Abbott Group at Morgan Stanley We Provide Solutions From left to right: Chris Jensen, Kelly Hesselein, James Matthew Bopp, Russell Abbott, Kristen Dinsbach and Josh Hagel-Thaler 1478 Stone Point Drive

More information

VIRGINIA ASSOCIATION OF COLLEGES & EMPLOYERS

VIRGINIA ASSOCIATION OF COLLEGES & EMPLOYERS VIRGINIA ASSOCIATION OF COLLEGES & EMPLOYERS 2017-2018 Board of Directors Slate of Candidates President-Elect Peggy Reed, University of Virginia Peggy Reed serves as the Employer Relations Manager for

More information

RAYMOND JAMES INVESTMENT STRATEGY COMMITTEE

RAYMOND JAMES INVESTMENT STRATEGY COMMITTEE RAYMOND JAMES INVESTMENT STRATEGY COMMITTEE Providing Raymond James financial advisors and their clients with actionable market commentary and investment guidance. PUBLICATIONS The advice and recommendations

More information

Jerald Beiter is the Corporate Ethics and Compliance Officer/Export Compliance Officer for Sallyport Global Holdings, Inc. After earning his BS

Jerald Beiter is the Corporate Ethics and Compliance Officer/Export Compliance Officer for Sallyport Global Holdings, Inc. After earning his BS Jerald Beiter is the Corporate Ethics and Compliance Officer/Export Compliance Officer for Sallyport Global Holdings, Inc. After earning his BS degree in Engineering Science, Mr. Beiter worked in Reliability,

More information

The Park Bay Group at Morgan Stanley Smith Barney

The Park Bay Group at Morgan Stanley Smith Barney The Park Bay Group at Morgan Stanley Smith Barney We provide comprehensive wealth management advice and help connect all the pieces of your financial life. 2/MORGAN STANLEY SMITH BARNEY Our Mission Through

More information

The TPC Group at Morgan Stanley Smith Barney

The TPC Group at Morgan Stanley Smith Barney The TPC Group at Morgan Stanley Smith Barney 53 State Street Exchange Place, 39th Floor, Boston, Massachusetts 02109 800-752-2678 / Main 617-227-9070 / fax fa.morganstanleyindividual.com/tpcgroup robert.m.panessiti@mssb.com

More information

Speaker. Norihiro Takahashi. Daisuke Hamaguchi. Philippe Desfossés

Speaker. Norihiro Takahashi. Daisuke Hamaguchi. Philippe Desfossés Speaker Norihiro Takahashi President, Government Pension Investment Fund Mr. Norihiro Takahashi is President of Government Pension Investment Fund (GPIF) since April 2016. Prior to his role at GPIF, he

More information

261 Gorham Road South Portland, ME Company Profile

261 Gorham Road South Portland, ME Company Profile Company Profile Preservation Management, Inc. (PMI) has been providing comprehensive residential and commercial property management services since 1990. Over the last two decades PMI has grown to manage

More information

The Spectrum Group at Morgan Stanley

The Spectrum Group at Morgan Stanley The Spectrum Group at Morgan Stanley 20807 Biscayne Blvd 6th Floor, Aventura, FL 33180 305-937-7100 / MAIN 800-736-4554 / TOLL-FREE 305-937-7136 / FAX www.morganstanleyfa.com/thespectrumgroup The Spectrum

More information

THE FUTURE OF CORPORATE REPORTING Monday 16 May 2016 Great Hall, Chartered Accountants Hall, 1 Moorgate Place, EC2R 6EA, London

THE FUTURE OF CORPORATE REPORTING Monday 16 May 2016 Great Hall, Chartered Accountants Hall, 1 Moorgate Place, EC2R 6EA, London THE FUTURE OF CORPORATE REPORTING Monday 16 May 2016 Great Hall, Chartered Accountants Hall, 1 Moorgate Place, EC2R 6EA, London PROGRAMME 17.00 Registration & refreshments 17.30 Welcome Tony Nicholl, President,

More information

Dean A. Connor. President & Chief Executive Officer, Sun Life Financial

Dean A. Connor. President & Chief Executive Officer, Sun Life Financial Dean A. Connor President & Chief Executive Officer, Sun Life Financial Dean A. Connor was appointed President & Chief Executive Officer, Sun Life Financial on December 1, 2011, and is a member of the company

More information

Candidate Profile Form District Committee Election Kelly Anderson

Candidate Profile Form District Committee Election Kelly Anderson Kelly Anderson Compliance Director RBC Capital Marke Kelly Anderson is Compliance Director at RBC Wealth Management, a division of RBC Capital Markets, LLC. Since 2004 she has been responsible for the

More information

Charlie Auerbach CFP, CLU, ChFC, EA

Charlie Auerbach CFP, CLU, ChFC, EA Charlie Auerbach CFP, CLU, ChFC, EA In 2001, Charlie Auerbach founded Wealth Strategies Group, Inc. as a full-service financial planning firm dedicated to providing successful executive, professional,

More information

Harper Hofer & Associates, LLC, 1580 Lincoln Street, Suite 1100, Denver, Colorado to present. Founding Member.

Harper Hofer & Associates, LLC, 1580 Lincoln Street, Suite 1100, Denver, Colorado to present. Founding Member. MELINDA M. HARPER, CPA/ABV/CFF, CFE harper@harperhofer.com (303) 486 0012 EMPLOYMENT Harper Hofer & Associates, LLC, 1580 Lincoln Street, Suite 1100, Denver, Colorado 80203. 2004 to present. Founding Member.

More information

: Diploma, The Joint State-Private Sector Course, National Defence College, Class 51/2008 Present Position

: Diploma, The Joint State-Private Sector Course, National Defence College, Class 51/2008 Present Position Brief personal profile of nominated candidates to be elected as new directors Name-Last Name : General Udomdej Sitabutr Age : 58 Years Proposed Position : Independent Director Education : Armed Forces

More information

The Fernandez, Hipple and Feranec Group at Morgan Stanley

The Fernandez, Hipple and Feranec Group at Morgan Stanley The Fernandez, Hipple and Feranec Group at Morgan Stanley 2330 West Joppa Road Suite 255, Lutherville, MD 21093 410-494-1859 / MAIN 443-281-5545 / FAX www.morganstanleyfa.com/ fernandezhippleferanecgroup

More information

QI Comes of Age: Health Reform Accelerates

QI Comes of Age: Health Reform Accelerates 12 th Annual ATP Alumni Conference QI Comes of Age: Health Reform Accelerates February 15-17, 2017 At Newpark Resort in Park City, Utah 2009 ATP Alumni Conference. February 10-12, 2010, Newpark Resort,

More information

Introduction to Financial Architects

Introduction to Financial Architects Introduction to Financial Architects We are a registered investment advisory firm providing financial planning and wealth management services to private clients in metro-atlanta, across the United States,

More information

Personnel. Internal Staff. Scott MacKillop CHIEF EXECUTIVE OFFICER. First Ascent Asset Management

Personnel. Internal Staff. Scott MacKillop CHIEF EXECUTIVE OFFICER. First Ascent Asset Management First Ascent Asset Management Personnel Internal Staff Scott MacKillop CHIEF EXECUTIVE OFFICER Scott has worked in the financial services industry for 40 years. He began his career in 1976 as a lawyer

More information

The Yarkin GrOUP at MOrGan STanleY SMiTh BarneY

The Yarkin GrOUP at MOrGan STanleY SMiTh BarneY The Yarkin GROUP at Morgan Stanley Smith Barney The Yarkin Group Welcome Introducing The Yarkin Group and The Florida Corporate Services Group at Morgan Stanley Smith Barney Business owners, corporate

More information