PUBLIC ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 318234). Regulatory assets under management: $18.8M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Stephen William Sikes | CEO | — |
| Jack J Chen | CCO | — |
| Prashant Yerramalli | CCO | — |
| Samuel Nofzinger | GENERAL MANAGER | — |
| FUENTES MARCO A | CHIEF COMPLIANCE OFFICER | — |
| Verlinde Emily Ann | CHIEF COMPLIANCE OFFICER | — |
| Carlisle Alan R | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2009-06-12 | regulatory | NASD RULES 1050, 2110 AND 2711. RESPONDENT TACONIC CAPITAL GROUP, INC. PERMITTED A PRINCIPAL TO ISSUE A RESEARCH REPORT WHEN THE PRINCIPAL WAS NOT REGISTERED AS A RESEARCH ANALYST. TACONIC DID NOT FILE THE ANNUAL ATTESTATION RELATING TO ITS ADOPTION AND IMPLEMENTATION OF RESEARCH-RELATED WRITTEN SUP… | Final | $1K |