INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC of ORLANDO, FL is an SEC-registered investment adviser (CRD 144426). Regulatory assets under management: $2.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Edward Richard Cofrancesco | CEO; CEO / PRESIDENT | — |
| Richard Jay Weiss | CHIEF COMPLIANCE OFFICER | — |
| Myra Pearle Nicholson | CHIEF LEGAL OFFICER | — |
| David S Weinberger | CHIEF FINANCIAL OFFICER | — |
| Matthew Edward Lampman | CHIEF OPERATING OFFICER; PRESIDENT/CHIEF OPERATING OFFICER | — |
| WEISS MARC JAY | CCO; CHIEF COMPLIANCE OFFICER | — |
| NICHOLSON MYRA PEARLE | CHIEF LEGAL OFFICER | — |
| COFRANCESCO EDWARD RICHARD | CEO / PRESIDENT; CHIEF EXECUTIVE OFFICER; MEMBER (+1 more) | — |
| CUFF SHERI MINGUS | CHIEF OPERATING OFFICER; NON REGISTERED OWNER | — |
| WINN JEFFREY GERALD | MANAGING PARTNER; REGISTERED OWNER | — |
| MOORE ANN KATHERINE | CHIEF COMPLIANCE OFFICER | — |
| PANCHOOKIAN RICHARD HARRY | MEMBER; SR. MANAGING PARTNER | — |
| NEWSOME HOPE LYNEE' | CHIEF COMPLIANCE OFFICER | — |
| LAMPMAN MATTHEW EDWARD | CHIEF OPERATING OFFICER | — |
| WEINBERGER DAVID S | CHIEF FINANCIAL OFFICER; CHIEF OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF RISK OFFICER; PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-03 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED AGAINST INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC (INTERNATIONAL ASSETSADVISERS OR RESPONDENT). IN ANTICI… | Final | $150K |
| 2019-01-14 | criminal | — | Final | — |
| 2017-07-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, TAYLOR CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE WILLFULLY FAILED TO TIMELY AMEND HIS FORM U4 TO DISCLOSE A FELONY CHARGE AGAINST HIM AND A SUBSEQUENT GUILTY PLEA. THE FINDINGS STATED THAT TAYLOR HAS NOT BEEN CONVICTED OF A FELONY IN T… | Final | $5K |
| 2017-05-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, NELSON CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE MADE APPROXIMATELY 20 TRADES IN 20 CUSTOMERS' INDIVIDUALIZED RETIREMENT ACCOUNTS, PRIOR TO RECEIVING THE CUSTOMERS' AUTHORIZATION. | Final | $5K |
| 2017-04-28 | regulatory | IN RESPONSE TO THE AGENT'S ADVERSE DISCLOSURE HISTORY, THE DEPARTMENT OF FINANCIAL REGULATION IMPOSED TERMS, CONDITIONS AND UNDERTAKINGS IN CONNECTION WITH MR. BODNAR'S REGISTRATION IN VERMONT. | Final | — |
| 2016-06-16 | criminal | SENTENCING DEFERRED UNTIL 6-6-2021, PENDING COMPLETION OF ALL CONDITIONS OF SUPERVISED PROBATION | Final | — |
| 2010-05-12 | regulatory | NASD RULE 2110-CHIN SIGNED A CUSTOMER'S NAME ON FORMS WITHOUT THE CUSTOMER'S EXPRESS CONSENT. | Final | $5K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
| — | regulatory | NASD RULES 2110, 3110: FROM JULY 2005 THROUGH APRIL 2008, ENGEN EXECUTED 47 MUTUAL FUND PURCHASES FOR 20 CUSTOMERS AND DESIGNATED ALL OF THESE TRANSACTIONS AS BEING ELIGIBLE FOR A WAIVER OF THE FRONT-END LOAD BASED ON A $1 MILLION RIGHT OF ACCUMULATION (ROA). NONE OF THESE 47 PURCHASES QUALIFIED FOR… | Final | $15K |