# WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 15840
- Type: SEC-registered investment adviser
- SEC file number: 801-62161
- Location: 1095 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036
- Phone: 212-578-0594
- Latest filing: 2013-05-08
- Regulatory AUM: $1.1B
- Discretionary AUM: $184.1M
- Non-discretionary AUM: $933.9M
- Clients: 1,495
- Accounts: 5,104

## Officers, owners & control persons (30)

_Showing 25 of 30 people._

| Name | Role | Location |
| --- | --- | --- |
| TOPPETA WILLIAM JOHN | DIRECTOR | — |
| FORGET ELIZABETH MARY | DIRECTOR | — |
| FARRELL MICHAEL KEVIN | CHAIRMAN OF THE BOARD; CHIEF EXECUTIVE OFFICER; DIRECTOR (+2 more) | — |
| HALPERIN JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | — |
| LAZARUS NORMAN ROBERT | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND AML OFFICER | — |
| MARKHAM CRAIG WILLIAM | DIRECTOR, CHIEF MARKETING OFFICER; PRESIDENT; PRESIDENT, DIRECTOR (+1 more) | — |
| CELLUPICA PAUL G | CHIEF LEGAL OFFICER | — |
| CARRIER ANDRE THEODORE | CHIEF OPERATIONS OFFICER; SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | — |
| BEGUN ROBERT | CHIEF OPERATIONS OFFICER; CO-CHIEF OPERATIONS OFFICER | — |
| COHN MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | — |
| MARTINEZ JOHN GREGORY | CHIEF FINANCIAL OFFICER; VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | — |
| PETERSEN ROBERT HENRY | CHIEF FINANCIAL OFFICER | — |
| CARR GWENN LOUISE | SECRETARY | — |
| LENNOX LAURIE | CHIEF COMPLIANCE OFFICER | — |
| AQUINO VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER; CHIEF OPERATIONS OFFICER; CO-CHIEF OPERATIONS OFFICER | — |
| RICCIARDI NANCY LOUISE | SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| STEIGERWALT ERIC | TREASURER | — |
| BRETT JOHN JOSEPH | CHAIRMAN OF THE BOARD | — |
| LACEK MICHAEL J | CHIEF LEGAL OFFICER | — |
| MARTZ ROBERT NICHOLAS | SENIOR VICE PRESIDENT | — |
| KAPLAN DONALD ROY | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND AML OFFICER | — |
| DWYER JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | — |
| GOULART STEVEN JEFFREY | TREASURER | — |
| TORRES ISAAC | SECRETARY | — |
| DILODOVICO WILLIAM MICHAEL | CHIEF OPERATION OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/15840/brochure
- Similar advisers: https://search.stillhousedata.com/firm/15840/similar
- Related entities: https://search.stillhousedata.com/firm/15840/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/15840

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.