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FIRM PROFILE
Overview
TOCQUEVILLE SECURITIES L.P. is located at 40 West 57th Street, 19th Floor, New York, NY 10019 and was first established at New York, Delaware in 01/04/1990. After operating for 36 years, TOCQUEVILLE SECURITIES L.P. 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 TOCQUEVILLE SECURITIES L.P.’s clients are individuals and 0% of their clients are high net worth individuals. TOCQUEVILLE SECURITIES L.P. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at TOCQUEVILLE SECURITIES L.P. are registered to handle securities or provide financial advice. The firm has 4 disclosures, 4 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 TOCQUEVILLE SECURITIES L.P.‘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 TOCQUEVILLE SECURITIES L.P.. 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 TOCQUEVILLE SECURITIES L.P. Comes From
Understanding the Statistics for TOCQUEVILLE SECURITIES L.P. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
40 West 57th Street 19th Floor, New York, NY, 10019
40 West 57th Street 19th Floor, New York, NY, 10019
Small
(212) 698-0800
Delaware since 01/04/1990
Partnership
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | ||
| CHUN, YUEN NA | FINOP | 2219603 | |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 | |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 | |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 | |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
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Advisor's working at TOCQUEVILLE SECURITIES L.P.
Lawrence Michael Fields
Heather Jacobs Perlmutter
Michael Lewis Bertash
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