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FIRM PROFILE
Overview
CANACCORD GENUITY LLC is located at One Pennsylvania Plaza Suite 2900, New York, NY 10119 and was first established at New York, Delaware in 02/26/2004. After operating for 22 years, CANACCORD GENUITY LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CANACCORD GENUITY LLC’s clients are individuals and 0% of their clients are high net worth individuals. CANACCORD GENUITY LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CANACCORD GENUITY LLC are registered to handle securities or provide financial advice. The firm has 46 disclosures, 45 being regulatory events, 1 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CANACCORD GENUITY LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CANACCORD GENUITY LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CANACCORD GENUITY LLC Comes From
Understanding the Statistics for CANACCORD GENUITY LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
One Pennsylvania Plaza Suite 2900, New York, NY 10119
1 Post Office Square, Boston, MA 02109
Medium
(212) 389-8000
Delaware since 02/26/2004
Limited Liability Company
March
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | ||
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 | |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 | |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 | |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 | |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 | |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 | |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
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Advisor's working at CANACCORD GENUITY LLC
Thomas Edward Gabel
Lynne Theurer
Chandresh Patel
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