MORTGAGE INDUSTRY ADVISORY CORPORATION of NEW YORK, NY is an SEC-registered investment adviser (CRD 122337). Regulatory assets under management: $1.4B. This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Other.
Clients served: Other.
| Name | Role | Location |
|---|---|---|
| Robert Nathaniel Husted | PRINCIPAL | — |
| Paul Thomas Vanvalkenburg | PRINCIPAL | — |
| Ruth Friedman | CHIEF FINANCIAL OFFICER | — |
| Marilyn Degennaro Millington | CHIEF COMPLIANCE OFFICER | — |
| MILLINGTON MARILYN DEGENNARO | CHIEF COMPLIANCE OFFICER | — |
| HUSTED ROBERT NATHANIEL | CHIEF COMPLIANCE OFFICER; PRINCIPAL | — |
| VANVALKENBURG PAUL THOMAS | PRINCIPAL | — |
| FRIEDMAN RUTH | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | ON SEPTEMBER 11, 2023, MIAC ENTERED INTO A SETTLEMENT (THE "SETTLEMENT") WITH THE SEC RELATING TO VIOLATING THE COMPLIANCE AND CODE OF ETHICS PROVISIONS OF SECTIONS 204A AND 206(4) OF THE ADVISERS ACT, AND RULES 204A-1 AND 206(4)-7 THEREUNDER OF THE ADVISERS ACT, BY NOT MAINTAINING COMPLIANCE POLICI… | Final | $100K |