STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC
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STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC
(CRD# 109683)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 1996.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$33.1 Billion,
with discretion over
0%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC
also reported in
Mar 2019
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28
employees,
with
8
performing advisory functions.
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A total of 2 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC has one or more disclosure events currently on file with the SEC.
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STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC has Notice Filings with the following State Securities Authorities:
AK-Sep 1996, AL-Dec 2002, AR-Jan 1997, AZ-Jan 1998, CA-Jan 1998
, CO-Mar 2003, CT-Nov 1997, DC-Jan 1997, DE-Apr 2003, FL-Jan 1997
, GA-Jun 1996, HI-Oct 1997, IA-Mar 1999, ID-Jan 1997, IL-Dec 1997
, IN-Feb 2001, KS-Oct 1996, KY-Jan 1997, LA-Oct 2001, MA-Sep 1996
, MD-Jan 1998, ME-Sep 1996, MI-Nov 1997, MN-Jan 1998, MO-Jan 1997
, MS-Feb 2001, MT-Jan 1998, NC-Feb 2001, ND-Aug 2000, NE-Dec 1997
, NH-Jan 1997, NJ-Jun 1996, NM-Jan 1997, NV-Jan 1997, NY-May 1996
, OH-Oct 1999, OK-Jan 1998, OR-Mar 2003, PA-Apr 2000, PR-Oct 1997
, RI-Jan 1997, SC-Dec 1997, SD-Sep 1996, TN-Jan 1998, TX-Jul 1999
, UT-May 1996, VA-Jan 1998, VI-Mar 2013, VT-Jan 1997, WA-Apr 1998
, WI-Nov 1996, WV-Jan 1997
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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