LADENBURG THALMANN ASSET MANAGEMENT INC of NEW YORK, NY is an SEC-registered investment adviser (CRD 108604). Regulatory assets under management: $6.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 38 people.
| Name | Role | Location |
|---|---|---|
| Nina McKenna | SECRETARY | New York, NY |
| Klein H David | CEO, CHAIRMAN OF THE BOARD | Herndon, VA |
| Milton Ralph Berlinski | GENERAL PARTNER; INVESTMENT MANAGER; MEMBER (+1 more) | New York, NY |
| Matthew Adam Schlueter | EVP; EVP, OPERATIONS & TECHNOLOGY SOLUTIONS | Atlanta, GA |
| James Dale Price | CHAIRMAN | Phonix, AZ |
| Christopher Mills Mitchell | TREASURER | — |
| Joseph Giovanniello | SVP | — |
| Philip Salvatore Blancato | PRESIDENT, CEO & DIRECTOR | — |
| Jaime Lynn Desmond | CHIEF OPERATIONS OFFICER | — |
| Madeline Yahaira Rutinel | CHIEF COMPLIANCE OFFICER | — |
| Scott Robert Seiffert | CHIEF FINANCIAL OFFICER | — |
| David Martin Schmidt | TREASURER | — |
| RUGGIERO JOHN HENRY | PRESIDENT; PRESIDENT, CCO | — |
| SCHLUETER MATTHEW ADAM | EVP | — |
| PRICE JAMES DALE | CHAIRMAN | — |
| MULLOOLY STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| MATEICKA ROBERT CHARLES | CHIEF COMPLIANCE OFFICER | — |
| GIARDINA SALVATORE | EVP/TREASURER | — |
| GIOVANNIELLO JOSEPH | SVP; SVP/GENERAL COUNSEL & SECRETARY | — |
| PEKAR THOMAS OCTAVE | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER; PORTFOLIO MANAGER | — |
| CROWLEY GEORGE FLURENCE | PORTFOLIO MANAGER | — |
| JOHNSTON CHARLES IRVINE | CEO | — |
| BLANCATO PHILIP SALVATORE | DIRECTOR OF ASSET MANAGEMENT; PRESIDENT; PRESIDENT, CEO & DIRECTOR (+1 more) | — |
| FRANCO COREY | CHIEF COMPLIANCE OFFICER | — |
| CHILLEMI DIANE MARIE | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-08-25 | regulatory | ALLEGED VIOLATIONS OF ADVISER ACT ADVERTISING AND RECORD KEEPING PROVISIONS IN CONNECTION WITH ADVERTISING OF THIRD-PARTY PERFORMANCE | Final | $200K |