VICTORY ASSET MANAGEMENT CO., INC. of MULLICA HILL, NJ is an SEC-registered investment adviser (CRD 107203). Regulatory assets under management: $102.5M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Ashley Renee Rosser | PRESIDENT/ CHIEF COMPLIANCE OFFICER | — |
| VERFAILLIE HOWARD ROY | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER; PRESIDENT; PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER (+2 more) | — |
| BEDNARCHIK GREGORY PAUL | CHIEF FINANACIAL OFFICER | — |
| ROSSER ASHLEY RENEE | MEMBER; PRESIDENT/COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-23 | regulatory | ON JULY 14, 2022, THE FIRM AND THE COMMONWEALTH OF MASSACHUSETTS, OFFICE OF THE SECRETARY OF THE COMMONWEALTH, SECURITIES DIVISION EXECUTED A SETTLEMENT. THE SETTLEMENT ARISES FROM THE FIRM'S FAILURE TO FILE A RENEWAL IAR REGISTRATION IN THE COMMONWEALTH OF MASSACHUSETTS FOR THE YEAR 2021, BY THE RE… | Final | $40K |