Associated Securities Corp. (Boston)

Associated Securities Corp. is a pension cosultant based in Boston. 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.

Associated Securities Corp provides 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.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Associated Securities Corp. for their services and products based on a percentage of assets under management and commissions. 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 Associated Securities Corp.

Neal Edwin Nakagiri has been acting as President since 1 Feb 2000. Kathleen Denise Vannoy Pineda joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Associated Financial Group	Holding company	1 Jun 1984	Other	95-3936729
William Paul Barnard	Vp/insurance	1 Aug 1984	Other	12742
Randal Roy Carson	Sr vp/trading	1 Apr 1987	Other	872114
Murli Dayaram Sujanani	Sr vp/investment research	1 Dec 1990	Other	1339455
John Roy Lindsey	Treasurer/cfo	1 Jun 1998	Other	1323663
Maxie Lee Robinson	Vp/compliance	1 Nov 1998	Other	2243994
Neal Edwin Nakagiri	President/ceo/general counsel	1 Feb 2000	Other	722534
Elgonde Magdalena Scheffy	Chief operating officer	1 Apr 2000	Other	1009038
Patricia Lee Gerwick	Vp/regional director	1 May 2000	Other	735600
Mark Alan Vandegrift	Vp/regional director	1 Jul 2000	Other	1549478
Mary Catherine Galvan	Vp/operations	1 Sep 2000	Other	2520134
Denise Marie Evans	Vp/compliance	1 Jul 2001	Other	4441308
Gifford John Hurley	Ceo/president	1 Jan 2005	Other	1171989
Fay Earl Fisher	Svp/chief administrative officer	1 Mar 2005	Other	4434689
Maureen Melodee Maloney	Chief compliance officer	1 Jul 2005	Other	4375865
Kim A Richardson	Svp/chief marketing officer	1 Jul 2005	Other	2206243
Sean Peter Mcgaughey	Svp, operations	1 Jul 2005	Other	1196117
Fay Earl Fisher	Chief executive officer	1 Dec 2006	Other	4434689
Scott Nathan Brody	Chief compliance officer	1 Jun 2007	Other	2890610
Esther Marion Stearns	Director	1 Jun 2007	Other	1088948
Stephanie Leigh Brown	Director	1 Jun 2007	Other	1973369
William Edward Iii Dwyer	Director	1 Jun 2007	Other	1274680
John Lincoln Dixon	Chief executive officer/director	1 Jul 2007	Other	68827
John Michael Mcgivney	Chief compliance officer	1 Nov 2007	Other	1001787
John Andrew Kalbaugh	Chief executive officer	1 Jun 2008	Other	1821773
David Clifford Sr. Becker	Chief financial officer/treasurer	1 Jun 2008	Other	4635972
Kari Schepman Turigliatto	Svp, general counsel	1 Jul 2008	Other	2725276
Allison Lee Couch	President	1 Nov 2008	Other	2149574
Scott Nathan Brody	Svp, chief compliance officer	1 Feb 2009	Other	2890610
Phillip Buhay Valtairo	Vice president and cfo, affiliated broker-dealer controller	1 Mar 2009	Other	4481362
James Hugh Wallace	Controller	1 Mar 2009	Other	4234081
Kathleen Denise Vannoy Pineda	Chief compliance officer	1 Sep 2009	Other	1347526

Indirect Owners

The SEC currently registers 17 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Pacific Mutual Distributors	Parent of holding company	1 Jul 1997	75% - 100%	4452
Inc. Pacific Select Distributors	Parent of holding company	1 Jul 1997	75% - 100%	4452
Pacific Mutual Holding Company	Holding company	1 Sep 1997	75% - 100%	33-0769202
Pacific Life Corp.	Holding	1 Sep 1997	75% - 100%	33-0769203
Llc Pacific Select Group	Parent of holding company	1 Dec 2005	75% - 100%	95-3793471
Pacific Life Insurance Co	Holding company	1 Dec 2005	75% - 100%	105169
Inc. Lpl Investment Holdings	Principal stockholder	1 Dec 2005	75% - 100%	20-0347947
David Nmi Bonderman	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
James George Coulter	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
L.P. Hellman & Friedman Capital Partners V	Stockholder	1 Dec 2005	25% - 50%	01-0818596
Llc Hellman & Friedman Investors V	General partner	1 Dec 2005	75% - 100%	01-0818590
William Stanley Iii Price	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
Inc. Tpg Advisors Iv	General partner	1 Dec 2005	Other	20-0348083
Iv L.P. Tpg Genpar	General partner	1 Dec 2005	Other	20-0347947
L.P. Tpg Partners Iv	Stockholder	1 Dec 2005	25% - 50%	20-0347894
Llc Lpl Independent Advisor Services Group	Parent company	1 Jun 2007	75% - 100%	04-3296987
Inc. Lpl Holdings	Managing member	1 Jun 2007	75% - 100%	04-3046611

Based in Boston

The principal office where Associated Securities Corp. performs its advisory services is located at One Beacon Street, Boston, MA 02108, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.