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FIRM PROFILE
Overview
COMMONWEALTH AUSTRALIA SECURITIES LLC is located at 599 Lexington Avenue 30th Fl, New York, NY 10022 and was first established at New York, Delaware in 05/10/2005. After operating for 20 years, COMMONWEALTH AUSTRALIA SECURITIES 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 COMMONWEALTH AUSTRALIA SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. COMMONWEALTH AUSTRALIA SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at COMMONWEALTH AUSTRALIA SECURITIES LLC 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 COMMONWEALTH AUSTRALIA SECURITIES 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 COMMONWEALTH AUSTRALIA SECURITIES 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 COMMONWEALTH AUSTRALIA SECURITIES LLC Comes From
Understanding the Statistics for COMMONWEALTH AUSTRALIA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
599 Lexington Avenue 30th Fl, New York, NY 10022
599 Lexington Avenue 30th Fl, New York, NY 10022
Small
(212) 848-9200
Delaware since 05/10/2005
Limited Liability Company
June
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | ||
| FELDMAN, RICHARD MARK | PFO | 2273453 | |
| LAWRENCE, LARRY O | CEO | 4237420 | |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 | |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 | |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 | |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
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Advisor's working at COMMONWEALTH AUSTRALIA SECURITIES LLC
Richard Mark Feldman
Edgar Jesus Duchatelier
Gregory S Kilayko
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