GREENWICH WEALTH MANAGEMENT LLC of GREENWICH, CT is an SEC-registered investment adviser (CRD 142820). Regulatory assets under management: $3.5B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Michael James Freeburg | MANAGING MEMBER | — |
| Daniel Jerry Sullivan | CHIEF COMPLIANCE OFFICER, MEMBER | — |
| Harry Edward Figgie | MEMBER | — |
| Jackson Henry Kleinert | MEMBER | — |
| FREEBURG MICHAEL JAMES | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| SULLIVAN DANIEL JERRY | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, MEMBER | — |
| FIGGIE HARRY EDWARD | MEMBER | — |
| Kleinert Jackson Henry | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-23 | regulatory | GWM'S FAILURE TO REGISTER ITS INVESTMENT ADVISER REPRESENTATIVE WHO HAD A PLACE OF BUSINESS IN MASSACHUSETTS AND ENSURE THAT ITS INVESTMENT ADVISER REPRESENTATIVE WAS PROPERLY REGISTERED IN MASSACHUSETTS PRIOR TO PROVIDING INVESTMENT ADVISORY SERVICES IN VIOLATION OF THE MASSACHUSETTS UNIFORM SECURI… | Final | $38K |