MILLINGTON SECURITIES, LLC of RED BANK, NJ is an SEC-registered investment adviser (CRD 147298). Regulatory assets under management: $140.5M.
Compensation: % of AUM.
Clients served: Charities.
| Name | Role | Location |
|---|---|---|
| Murphy Kevin | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | Plano, TX |
| Donald Robert Schreiber | CHIEF EXECUTIVE OFFICER, CCO AND TREASURER; SOLE OWNER | — |
| SCHREIBER DONALD ROBERT | CEO; CEO AND TREASURER; CEO/CLASS A&B SHAREHOLDER (+3 more) | — |
| CONFESSORE ROBERT | CLASS B SHAREHOLDER; PRESIDENT | — |
| STROIK GARY EDWARD | CLASS B SHAREHOLDER | — |
| BEATON DANIEL STEWART | FINOP | — |
| MILLINGTON CHARLES GLENN | CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER; OWNER; PRES./CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | — |
| SCHREIBER MATTHEW EARL | CLASS B SHAREHOLDER | — |
| DECKER DAVID JOHN | HEAD OF TRADING | — |
| MILLINGTON REGINA ANN | OWNER; SECY. | — |
| MILLINGTON CHARLES FRANCIS | PRESIDENT | — |
| MARSHALL CATHERINE E | GENERAL COUNSEL | — |
| LAGERMASINI PAUL JOSEPH | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND FINOP | — |
| VAN SOLKEMA STEVEN A | CHIEF OPERATING OFFICER; COO, CCO AND AMLCO; COO, CCO-BD AND AMLCO-BD | — |
| STROIK CYNTHIA ROSE | CCO-RIA AND AMLCO-RIA | — |
| GOODE JACQUELINE MARIE | CCO/AML OFFICER; CCO/FINOP | — |
| CAIN KERRI E | CFO; CFO/FINOP | — |
| BROMBERG MATTHEW JAMES | GENERAL COUNSEL | — |
| Bromberg Matthew | GENERAL COUNSEL | — |
| KEST ALYSON RENEE | CHIEF COMPLIANCE OFFICER, AMLCO AND COUNSEL | — |
| KREITZ SCOTT FREDERICK | CHIEF OPERATING OFFICER | — |
| SCHINDLER DINA NICOLE | CHIEF COMPLIANCE OFFICER | — |
| CONFESSORE ROBERT JOSEPH | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-08-05 | regulatory | THE SEC'S ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS RELATES TO ALLEGATIONS THAT MILLINGTON SECURITIES, INC. AND ITS AFFILIATE, WBI INVESTMENTS, INC., MADE MATERIAL MISSTATEMENTS CONCERNING PAYMENTS THAT MILLINGTON RECEIVED FOR SENDING CLIENT ORDERS TO OTHER BROKERAGE FIRMS FO… | Final | $250K |