ADIRONDACK FINANCIAL SERVICES CORP of UTICA, NY is an SEC-registered investment adviser (CRD 126155). Regulatory assets under management: $461.8M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| John J Clark | CHIEF INVESTMENT OFFICER | Las Vegas, NV |
| Harold Thomas Clark | BOARD CHAIRMAN | — |
| William Fox Locke | CEO; PRESIDENT & CEO | — |
| Patricia Marie Rugari | COO, CFO & CCO | — |
| CLARK GARY THOMAS | BOARD CHAIRMAN | — |
| LOCKE WILLIAM FOX | CEO | — |
| STEWART MICHAEL CHARLES | PRESIDENT | — |
| SCHOEN LAURIE ANN | EXECUTIVE VICE-PRESIDENT | — |
| MIELNICKI AMY LOUISE | EXECUTIVE VICE-PRESIDENT | — |
| WILLIAMS JANICE POWERS | CHIEF COMPLIANCE OFFICER | — |
| RUGARI PATRICIA MARIE | CHIEF COMPLIANCE OFFICER; COO, CFO & CCO | — |
| KLINE WILLIAM JOSEPH | PRESIDENT; PRESIDENT - EMPLOYEE BENEFIT DIVISION | — |
| LEMIRE DAVID S | PRESIDENT - INVESTMENT ADVISORY DIVISION | — |
| CLARK JOHN J | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-01-19 | regulatory | ADMINISTRATIVE INITIAL CRS WAS NOT FILED ON THE TIMELY ON THE IARD SYSTEM OR POSTED ON THE COMPANY WEBSITE. INITIAL CRS WAS PROVIDED TO CLIENTS ON TIME | Final | $25K |