# ConvergEx Holdings, LLC — Form D

ConvergEx Holdings, LLC of NEW YORK, NY, a company, filed a Form D exempt-offering notice with the SEC on 2009-11-16. The offering totals $8.8M, of which $8.8M was reported sold. Industry: Other Banking and Financial Services.

## Offering

- Filed: 2009-11-16
- Form: D
- Accession: 0001378709-09-000006
- Industry: Other Banking and Financial Services
- Exemptions: 06
- Total offering: $8.8M
- Amount sold: $8.8M
- Investors: 145
- Date of first sale: 2009-11-02
- Security types: equity
- Revenue range: Decline to Disclose
- SEC file number: 021-95724

## Issuer

- Name: ConvergEx Holdings, LLC
- CIK: 0001378709
- Entity type: Limited Liability Company
- Jurisdiction: DELAWARE
- Incorporated: 2006
- Address: 1633 BROADWAY 48TH FL, NEW YORK, NY, 10019
- Phone: 800-367-8998

## Officers, directors & promoters (16)

| Name | Role | Location |
| --- | --- | --- |
| Todd E Gibbons | Director | New York, NY |
| CONSTANTINE S MIHAS | Director | CHICAGO, IL |
| Joseph M Velli | Executive Officer | New York, NY |
| Thomas P Gibbons | Director | New York, NY |
| John E Sununu | Director | Portsmouth, NH |
| Constatine S Mihas | Director | Chicago, IL |
| Richard Brueckner | Director | Jersey City, NJ |
| Charles E Rappold | Executive Officer | New York, NY |
| John P Cahaly | Director | Boston, MA |
| Barry R Dunn | Director | Chicago, IL |
| Bruce Van Saun | Director | London, X0 |
| Joseph M Velli | Director | New York, NY |
| Christopher E Springer | Executive Officer | New York, NY |
| Sean P McLaughlin | Director | New York, NY |
| Joseph E Schenk | Director | New York, NY |
| COLLIN E ROCHE | Director | CHICAGO, IL |

## Other filings by this issuer (1)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2009-12-15](https://search.stillhousedata.com/formd/0001378709-09-000007) | D | $5.7M | $5.7M |

## More

- [CIK 1378709 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1378709&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001378709-09-000006.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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