SPECTRUM ASSET MANAGEMENT, INC. of STAMFORD, CT is an SEC-registered investment adviser (CRD 300463). Regulatory assets under management: $18.3B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Mark Alan Lieb | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| Lewis Phillip Jacoby | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | — |
| Joseph John Urciuoli | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | — |
| Jean Marie Orlando | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | — |
| Joseph Andrew Hanczor | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Matthew Ross Byer | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | — |
| LIEB MARK ALAN | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| JACOBY LEWIS PHILLIP | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | — |
| URCIUOLI JOSEPH JOHN | EXECUTIVE DIRECTOR & HEAD OF RESEARCH; MANAGING DIRECTOR & HEAD OF RESEARCH | — |
| ORLANDO JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | — |
| HANCZOR JOSEPH ANDREW | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| BYER MATTHEW ROSS | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |