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FIRM PROFILE
Overview
TRIAD SECURITIES CORP is located at 111 Broadway 11th Floor, New York, NY 10006-9401 and was first established at New York, New York in 07/13/1976. After operating for 50 years, TRIAD SECURITIES CORP 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 TRIAD SECURITIES CORP’s clients are individuals and 0% of their clients are high net worth individuals. TRIAD SECURITIES CORP has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at TRIAD SECURITIES CORP are registered to handle securities or provide financial advice. The firm has 2 disclosures, 2 being regulatory events, 0 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 TRIAD SECURITIES CORP‘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 TRIAD SECURITIES CORP. 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 TRIAD SECURITIES CORP Comes From
Understanding the Statistics for TRIAD SECURITIES CORP and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
111 Broadway 11th Floor, New York, NY 10006-9401
111 Broadway 11th Floor, New York, NY 10006-9401
Small
(212) 349-8060
New York since 07/13/1976
Corporation
June
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | ||
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | ||
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | ||
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | ||
| FISHER, KENNETH ALAN | CEO | 4631540 | |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 | |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 | |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 | |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 | |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 | |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 | |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 | |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
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Advisor's working at TRIAD SECURITIES CORP
Kevin Matthew Schultz
Michael Allen Bird
H Michael Cohen
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