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FIND A OLD SLIP CAPITAL MANAGEMENT, INC. FINANCIAL ADVISOR NEAR ME

Find, Compare and Monitor Financial Advisors at OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

OLD SLIP CAPITAL MANAGEMENT, INC. is located at 40 Wall Street 28th Floor, New York, NY 10005 and was first established at New York, Illinois in 10/05/1966. After operating for 60 years, OLD SLIP CAPITAL MANAGEMENT, INC. 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 OLD SLIP CAPITAL MANAGEMENT, INC.’s clients are individuals and 0% of their clients are high net worth individuals. OLD SLIP CAPITAL MANAGEMENT, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at OLD SLIP CAPITAL MANAGEMENT, INC. are registered to handle securities or provide financial advice. The firm has 5 disclosures, 4 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 OLD SLIP CAPITAL MANAGEMENT, INC.‘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 OLD SLIP CAPITAL MANAGEMENT, INC.. 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.

Crafted using large generative AI models

Where the Statistical Data for OLD SLIP CAPITAL MANAGEMENT, INC. Comes From

Understanding the Statistics for OLD SLIP CAPITAL MANAGEMENT, INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
4
Bond
1

FIRM INFORMATION

Main Address
40 Wall Street 28th Floor, New York, NY 10005
Mailing Address
40 Wall Street 28th Floor, New York, NY 10005
Firm Size
Small
Phone Number
(646) 290-7711
Established
Illinois since 10/05/1966
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
LUKEZIC, JAMES JOSEPHMANAGING PRINCIPAL4284800
LUKEZIC, JAMES JOSEPHCCO4284800
RICHARDS, JAMES ROSSFINANCIAL OPERATIONS PRINCIPAL2680389
RICHARDS, JAMES ROSSFINOP2680389

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Advisor's working at OLD SLIP CAPITAL MANAGEMENT, INC.

JL

James Joseph Lukezic

IAR
RR
CRD#: 4284800
AIF®: Accredited Investment Fiduciary
Location:
New York, NY 10005
Company:
OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC
Disclosures:
Experience:
24 years
View Profile
CB

Cyrus A. Borzooyeh

RR
CRD#: 5040946
Location:
New York, NY 10005
Company:
OLD SLIP CAPITAL MANAGEMENT, INC.
Disclosures:
Experience:
1 year
View Profile
JR

James Ross Richards

Jim Richards
RR
CRD#: 2680389
Location:
Plano, TX 75074
Company:
NOBLES & RICHARDS, INC.
Disclosures:
Experience:
29 years
View Profile
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