MADISON AVENUE SECURITIES, LLC of SAN DIEGO, CA is an SEC-registered investment adviser (CRD 23224). Regulatory assets under management: $2.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| David James Callanan | LLC MEMBER; MANAGER; MEMBER | — |
| Martin William Mcnees | PRESIDENT | — |
| Jennifer Schendel | MEMBER | — |
| Cody Grant Foster | LLC MEMBER; MEMBER | — |
| Gail Marie Jensen | CHIEF COMPLIANCE OFFICER; DEPUTY CHIEF COMPLIANCE OFFICER | — |
| Melissa Kay Pierson | CHIEF COMPLIANCE OFFICER | — |
| Vilayphone Fixsen | CHIEF OPERATING OFFICER | — |
| Sandra Ann Woods | FINOP | — |
| Laura Ann Malechuk | FINOP | — |
| Derek James Thompson | MEMBER; TRUSTEE AND LLC MEMBER | — |
| THOMPSON ROGER MARTIN JAMES | DIRECTOR; LLC MEMBER; MEMBER (+1 more) | — |
| KNAPP CONSTANCE SUE | CHIEF FINANCIAL OFFICER | — |
| AKERSTROM STEPHANIE M | DIRECTOR; PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, & DIRECTOR; PRESIDENT, CEO, & DIRECTOR (+1 more) | — |
| DURLAND LESLIE LEROY | CEO, DIRECTOR; DIRECTOR; MEMBER | — |
| HENSON JANA MARIE | CHIEF COMPLIANCE OFFICER; CROP/SROP | — |
| TALLEUR WAYNE FRANCIS | CFO OF ASSET MARKETING SYSTEMS INSURANCE SERVICES, LLC; CONTROL PERSON; DIRECTOR (+3 more) | — |
| FORT COLIN DALE | ADMINISTRATOR OF ESTATE; TRUSTEE | — |
| HAINES JAMES CODY | SROP CROP | — |
| MCNEES MARTIN WILLIAM | CHIEF OPERATING OFFICER; PRESIDENT | — |
| MALECHUK LAURA ANN | FINOP | — |
| MIDLAM MICHAEL SCOTT | DIRECTOR; LLC MEMBER | — |
| FORT COLIN | DIRECTOR | — |
| AKERSTEIN JAY MATTHEW | DIRECTOR | — |
| JENSEN GAIL MARIE | CHIEF COMPLIANCE OFFICER | — |
| BOND SUZANNE | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-03 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISTRIBUTED OR MADE AVAILABLE TO CUSTOMERS CONSOLIDATED REPORTS CONTAINING INACCURATE INFORMATION, OR OMITTING MATERIAL INFORMATION, ABOUT WHETHER CERTAIN ASSETS WERE HELD AWAY FROM TH… | Final | $125K |
| 2023-06-30 | regulatory | SURING THE PERIOD 2014 THROUGH 2017, MADISON AVENUE SECURITIES, LLC FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM TO SUPERVISE THE ACTIVITIES OF ITS AGENTS RELATING TO THE SALE OF CERTAIN ALTERNATIVE INVESTMENTS. SPECIFICALLY, AFTER ADOPTING DIFFERENT BRANCH OFFICE SPECIFIC GUIDELIN… | Final | $20K |
| 2023-05-01 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO SUPERVISE MUTUAL FUND TRANSACTIONS THAT THE FIRM'S REPRESENTATIVES EFFECTED THRO… | Final | $50K |
| 2021-07-06 | regulatory | THE SEC ALLEGED THAT MADISON AVENUE SECURITIES (MAS) DID NOT ADEQUATELY DISCLOSE THE CONFLICT OF INTEREST THAT EXISTED WHEN IT RECOMMENDED SWEEP ACCOUNT MONEY MARKET FUND OPTIONS TO ITS ADVISORY CLIENTS AND CERTAIN MUTUAL FUNDS, INCLUDING NO TRANSACTION FEE (NTF) MUTUAL FUNDS, THAT PAID A 12B-1 FEE… | Final | $150K |
| 2021-07-02 | regulatory | THE SEC ALLEGED THAT MADISON AVENUE SECURITIES (MAS) DID NOT ADEQUATELY DISCLOSE THE CONFLICT OF INTEREST THAT EXISTED WHEN IT RECOMMENDED SWEEP ACCOUNT MONEY MARKET FUND OPTIONS TO ITS ADVISORY CLIENTS AND CERTAIN MUTUAL FUNDS, INCLUDING NO TRANSACTION FEE (NTF) MUTUAL FUNDS, THAT PAID A 12B-1 FEE… | Final | $150K |
| 2016-12-05 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO HAVE EITHER WRITTEN PROCEDURES OR A SUPERVISORY SYSTEM IN PLACE PERTAINING TO THE CREATION AND DISSEMINATION OF CONSOLIDATED REPORTS. THE FINDINGS STATED THAT 39 OF THE FIRM'… | Final | $75K |
| 2014-05-23 | regulatory | SEE CONSENT ORDER | Final | $20K |
| 2013-06-20 | regulatory | FINRA RULE 2010, NASD RULES 2110, 3010, 3040(C), 3110: A REGISTERED REPRESENTATIVE OF THE FIRM PARTICIPATED IN PRIVATE SECURITIES TRANSACTIONS WHEN PARTICIPATING IN THE OFFER AND SALE OF PRIVATE PLACEMENT OFFERINGS. THE FIRM FAILED TO RECORD THE TRANSACTIONS OF THE PRIVATE PLACEMENT OFFERINGS ON ITS… | Final | $13K |
| 2011-06-22 | regulatory | THE INDIANA SECRETARY OF STATE, SECURITIES DIVISION ALLEGES THAT FROM APPROXIMATELY AUGUST TO NOVEMBER 2010, MADISON AVENUE SECURITIES, INC. ("MAS") ENGAGED IN A DISHONEST AND UNETHICAL PRACTICE BY FAILING TO SUPERVISE AGENT KEITH D. ROBINSON ("ROBINSON") WHEN IT APPROVED THE ADVERTISEMENTS AND/OR I… | Final | $2K |
| — | regulatory | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| GREENVILLE | SC | 5 | 864-235-2790 |
| EVANSVILLE | IN | 3 | (215) 399-9350 |
| ATLANTA | GA | 3 | (404) 479-8136 |
| OCEAN VIEW | NJ | 3 | 609-390-9050 |
| BLOOMFIELD HILLS | MI | 3 | (248) 237-1223 |
| MACON | GA | 3 | (808) 545-2211 |
| SANTA ROSA BEACH | FL | 2 | (800) 650-3191 |
| ORLANDO | FL | 2 | (407) 843-4200 |
| SKOKIE | IL | 2 | (201) 637-4546 |
| LEWISTON | ID | 2 | (208) 664-6952 |
| COEUR D'ALENE | ID | 2 | (208) 743-1943 |
| SUWANEE | GA | 2 | (678) 714-7611 |
| WINTER PARK | FL | 2 | (888) 960-4494 |
| PRAIRIE VILLAGE | KS | 1 | (913) 660-0258 |
| LOS ANGELES | CA | 1 | (310) 450-2904 |