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FIRM PROFILE
Overview
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC is located at 1095 Avenue Of The Americas, New York, NY 10036 and was first established at New York, Delaware in 05/17/2017. After operating for 8 years, STANDARD CHARTERED SECURITIES NORTH AMERICA 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 STANDARD CHARTERED SECURITIES NORTH AMERICA LLC’s clients are individuals and 0% of their clients are high net worth individuals. STANDARD CHARTERED SECURITIES NORTH AMERICA LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 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 STANDARD CHARTERED SECURITIES NORTH AMERICA 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 STANDARD CHARTERED SECURITIES NORTH AMERICA 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 STANDARD CHARTERED SECURITIES NORTH AMERICA LLC Comes From
Understanding the Statistics for STANDARD CHARTERED SECURITIES NORTH AMERICA LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1095 Avenue Of The Americas, New York, NY 10036
1095 Avenue Of The Americas, New York, NY 10036
Medium
(212) 667-0700
Delaware since 05/17/2017
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | ||
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 | |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 | |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 | |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 | |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
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Advisor's working at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Jason Suh
Elizabeth Siu Yen Chan
Megan Agnes Tichenor Lund
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