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CONVERGEX EXECUTION SOLUTIONS LLC
NEW YORK, NY
800-828-5454
SEC #801-67167Total AUM
$0
Employees
375Clients
0Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
1633 BROADWAY
48TH FLOOR
NEW YORK
NY 10019
United States
48TH FLOOR
NEW YORK
NY 10019
United States
Operating Hours
8:00 AM ET TO 5:00 PM ET
Monday - Friday
Monday - Friday
Phone
800-828-5454
Financials
Total AUM
$0
Accounts
0Discretionary
$0
Accounts
0Non-Discretionary
$0
Accounts
0
Clients
None reported
Services
Services Offered
Other Services
Other Services
TRANSITION MANAGEMENT SERVICES TO ACCOUNTS CHANGING INVESTMENT MANAGERS.
Compensation Types
Charges CommissionCharges Fixed Fee
Compliance
Disclosures
Felony ChargeFelony ConvictionMisdemeanor ConvictionMisdemeanor Conviction ChargeOther Regulator Violation FindingPending Civil ProceedingPending Regulatory ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO Rule Violation
State Registrations
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWV
Affiliates
Affiliates
Reported 69 business affiliates.
Claimed Affiliates
Reported as an affiliate by 0 other businesses.