Chase Securities Inc. (New York)

Name: Chase Securities Inc.
Address: 270 Park Avenue 41 St Floor, New York, NY, 10017
Telephone: 212-270-6000

Chase Securities Inc. is a large advisory firm based in New York. It manages $3.86 billion of regulatory assets for 185 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 48 other states.

Chase Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Chase Securities: assets under management

The assets under management (AUM) of Chase Securities Inc. is $3.86 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.86 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $20.85 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Chase Securities Inc. for their services and products based on a percentage of assets under management and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Chase Securities Inc.

Paul Wendell Brandow has been acting as President since 1 May 2001. Darleen Ann Solebellofenton joined the executive team most recently as the Crop.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Bainbridge Jr Lee	Managing director and director	1 Jul 1993	Other	2303126
James Francis Mcginnis	Chief compliance officer, managing director, director, crop and srop	1 Jul 1993	Other	704610
Jorge Victor Jasson	Managing director and director	1 Apr 1996	Other	2284287
John Steinhardt	Managing director and director	1 May 1996	Other	874072
Nicholas John Mannarino	Vice president, chief operations officer and director	1 Jul 1998	Other	1629452
James David Hutter	Chief financial officer and director	1 Apr 1999	Other	3174962
Paul Wendell Brandow	President,managing director and director	1 May 1999	Other	2320465
Joann Smyser Digulla	Crop - chase h&q division	1 Feb 2000	Other	1206540
Hambrecht & Quist California (Directly Owns 37% Of Chase Securities Inc.)	Directly owns 37% of chase securities inc.	1 Feb 2000	25% - 50%	94-2856927
J. P. Morgan Chase & Co. (Directly Owns 63% Of Chase Securities Inc.)	Ultimate parent company - directly owns 63% of chase securities inc.	1 Jan 2001	50% - 75%	13-2624428
Darleen Ann Solebellofenton	Crop	1 May 2001	Other	2292861
Paul Wendell Brandow	Director/managing director/vice chairman	1 May 2001	25% - 50%	2320465
John Steinhardt	Director/ managing director/ vice chairman	1 May 2001	25% - 50%	874072
Nicholas John Mannarino	Director/ chief operations officer/ vice president	1 May 2001	25% - 50%	1629452
Joann Smyser Digulla	Crop	1 May 2001	Other	1206540
Hambrecht & Quist California (Directly Owns 29% Of J.P. Morgan Securities Inc.)	Directly owns 29 % of j.p. morgan securities inc.	1 May 2001	25% - 50%	94-2856927
J. P. Morgan Chase & Co. (Directly Owns 48% Of J.P. Morgan Securities Inc.)	Ultimate parent company - directly owns 48% of j.p. morgan securities inc.	1 May 2001	25% - 50%	13-2624428
Mark Black Werner	Director/ chairman and president	1 May 2001	25% - 50%	730268
Ann Dully Borowiec	Director/ managing director/co-head of us markets private bank	1 May 2001	25% - 50%	1572984
James Michael Collins	Director/ chief financial officer/ vice president	1 May 2001	25% - 50%	2725065
Brent Henricksen Taylor	Managing director/agc/director of compliance/cco	1 May 2001	25% - 50%	3042416
James C.P. Berry	Secretary	1 May 2001	Other	xxx-xx-xxxx
Lisa Estelle Waters	Srop	1 May 2001	Other	2279171
J.P. Morgan Securities Holdings Inc. (Directly Owns 23% Of J.P. Morgan Securities Inc.)	Directly owns 23% of j.p. morgan securities inc.	1 May 2001	Other	999-99999

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Hambrecht & Quist Group (Owns 100% Of Hambrecht & Quist California)	See question #1	1 May 2001	75% - 100%	94-3246636
J.P. Morgan Chase & Co. (Owns 100% Of J.P. Morgan Securities Holdings Inc.)	See question #1	1 May 2001	75% - 100%	13-2624428

Based in New York

The principal office where Chase Securities Inc. performs its advisory services is located at 270 Park Avenue 41 St Floor, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-270-6000 or by fax 212-270-2801. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.chase.com.