HEALTHCARE COMMUNITY SECURITIES CORPORATION of RENSSELAER, NY is an SEC-registered investment adviser (CRD 36026). Regulatory assets under management: $5.1B.
Compensation: % of AUM, Fixed.
Clients served: Pooled vehicles, Pensions.
Showing 25 of 74 people.
| Name | Role | Location |
|---|---|---|
| James Smith | BOARD OF DIRECTOR | Parker, CO |
| THOMAS RICHARD | BOARD OF DIRECTOR | SAINT PETERSBURG, FL |
| Mary Katherine Hayes | CFO | — |
| Jennifer Larose | CHIEF COMPLIANCE OFFICER | — |
| Noah Patrick Buck | PRESIDENT | — |
| Andrew Raymond Manzer | BOARD OF DIRECTOR | — |
| Cynthia Mccollum | BOARD OF DIRECTOR | — |
| Hugh Richard Thomas | BOARD OF DIRECTOR | — |
| Dennis James Verzi | BOARD OF DIRECTORS | — |
| Karen Sue Westervelt | BOARD OF DIRECTOR | — |
| Martin W Boryszak | BOARD OF DIRECTOR | — |
| Joshua S Ratner | BOARD OF DIRECTOR | — |
| Jonathan David Schiller | BOARD OF DIRECTOR | — |
| Mark Eli Geller | BOARD OF DIRECTOR | — |
| Michele L. Cusack | BOARD OF DIRECTOR | — |
| MURPHY BRIAN JOSEPH | BOARD OF DIRECTORS; BOARD OF DIRECTORS- CHAIRMAN; BOARD OF DIRECTORS- SECRETARY | — |
| DOOLEY JAMES J | EXECUTIVE OFFICER/BOARD MEMBER | — |
| SISTO DANIEL | PRESDIENT | — |
| JEZSU JOHN WILLIAM | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| KETCHAM RICHARD | BOARD OF DIRECTOR; EXECUTIVE OFFICER/BOARD MEMBER | — |
| KRUCZLNICKI DAVID G | BOARD OF DIRECTOR; EXECUTIVE OFFICER/BOARD MEMBER; EXECUTIVE OFFICER/BOARD MEMBER/CHAIRMAN-ELECT | — |
| QUAGLIATA JOSEPH A | BOARD OF DIRECTOR-IMMEDIATE PAST CHAIR; EXECUTIVE OFFICER/BOARD MEMBER; EXECUTIVE OFFICER/BOARD MEMBER/CHAIRMAN (+2 more) | — |
| SPICER JOHN R | BOARD OF DIRECTOR; EXECUTIVE OFFICER/BOARD MEMBER | — |
| DOWLING MICHAEL J | EXECUTIVE OFFICER/BOARD MEMBER; EXECUTIVE OFFICER/BOARD MEMBER/CHAIRMAN | — |
| GOLDSTEIN STEVEN | BOARD OF DIRECTOR; EXECUTIVE OFFICER; EXECUTIVE OFFICER BOARD MEMBER (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2009-11-30 | regulatory | FROM 2004 THROUGH 2008, HEALTHCARE DID NOT MAINTAIN AND PRESERVE ALL ELECTRONIC COMMUNICATIONS RELATING TO THE FIRM'S BUSINESS AND DID NOT ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND/OR WRITTEN SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULES AND REG… | Final | $35K |