Banc One Securities Corporation (New York)

Banc One Securities Corporation is a large advisory firm based in New York. It manages $682.03 million of regulatory assets for 3,787 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Banc One Securities Corporation provides financial planning services and market timing services. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Banc One Securities Corporation: assets under management

The assets under management (AUM) of Banc One Securities Corporation is $682.03 million. The firm's AUM has gone down by -49% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Banc One Securities Corporation for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Banc One Securities Corporation

Michael John Reed has been acting as President since 1 Apr 1995. John Mcdevitt Kramer joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Banc One Capital Holding Corporation	Holding company	1 Dec 1994	75% - 100%	31-0738296
Michael John Reed	President/director	1 Apr 1995	Other	1553478
David Russell Meuse	Director	1 Apr 1995	Other	332943
David Joh Kundert	Director	1 Jul 1997	Other	2391348
Daniel Robert Deegan	Director	1 Jun 1999	Other	1143339
Jacques Iii Aebli	Director	1 Jun 1999	Other	1613928
David Bernard Jonke	Director of compliance	1 Jun 1999	Other	3069645
Kevin Lee Martin	Cfo/director/finop	1 Jun 1999	Other	2742022
Ellen Fowler Stoutamire	Secretary	1 Feb 2001	Other	1819869
John William Irwin	Director	1 Feb 2001	Other	xxx-xx-xxxx
Gary David Wachs	Director of compliance	1 Oct 2001	Other	1208274
Bradford Michael Markham	Assistant secretary	1 Feb 2002	Other	xxx-xx-xxxx
Charles William Scharf	Director	1 May 2003	Other	2123345
David Edwin Donovan	Director	1 May 2003	Other	1081912
John Stephen Maclellan	President/director	1 May 2003	Other	1050214
Alan Kent Jr Halfenger	Chief compliance officer, crop	1 Oct 2004	Other	1715234
William Robert Felker	President & ceo	1 Jan 2005	Other	2354456
Teresa Lynn Warta	Treasurer & cfo	1 Jan 2005	Other	2055433
Michael John Reed	Executive vice president, director	1 Mar 2005	Other	1553478
Ellen Fowler Anderson	Assistant secretary	1 Mar 2005	Other	1819869
Bradford Michael Markham	Assistant secretary	1 Mar 2005	Other	xxx-xx-xxxx
Charles William Scharf	Executive vice president, director	1 Mar 2005	Other	2123345
David Edwin Donovan	Executive vice president, director	1 Mar 2005	Other	1081912
John Stephen Maclellan	Senior vice president, director	1 Mar 2005	Other	1050214
Kevin Lee Martin	Executive vice president	1 Mar 2005	Other	2742022
James Huber Davis	Chief operations officer	1 Mar 2005	Other	4166100
James Joseph Lukas	Chief information officer	1 Mar 2005	Other	4096467
James C. P. Berry	Secretary	1 Mar 2005	Other	4361911
Jeffrey L Davis	Assistant secretary	1 Mar 2005	Other	xxx-xx-xxxx
Timothy Hugh Samson	Assistant secretary	1 Mar 2005	Other	4603479
John Mcdevitt Kramer	Chief compliance officer	1 Sep 2005	Other	2350116

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Bank One Corporation	Indirect parent	1 Sep 1985	75% - 100%	31-0738296
J.P. Morgan Chase & Co.	Indirect parent	1 Jul 2004	75% - 100%	13-2624428

Based in New York

The principal office where Banc One Securities Corporation performs its advisory services is located at 270 Park Ave, New York, NY 11017 The mailing address of the firm is 270 Park Ave, New York, NY 11017. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-464-1662 or by fax 212-464-1702. The normal business hours are 8:00 a.m. est - 5:00 p.m. est on Monday - Friday.