Securities Evaluations, Inc. (New York)

Name: Securities Evaluations, Inc.
Address: 100 Church Street, New York, NY, 10007
Telephone: 212-656-3101

Securities Evaluations, Inc. is a related adviser based in New York. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of New York.

Securities Evaluations provides formerly provided pricing 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 a single stream of revenue. Clients pay Securities Evaluations, Inc. for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Frank Angelo Ciccotto serves?

The only and largest group of clients of Frank Angelo Ciccotto is investment companies with 1 clients and $0 of assets under management. Among the 0 most similar advisory firms, Securities Evaluations has the 0th lowest percentage of investment companies out of all clients.

None of the firm’s clients are foreign persons or businesses.

Securities Evaluations doesn't advise any private funds.

Careers at Securities Evaluations, Inc.

The company employs 2 people that are either part- or full-time employees. No employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Frank Angelo Ciccotto has been acting as President since 1 Sep 2015. John Franklyn Robbins joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gregory James Carlin	Vice president	1 Jan 2014	Other	1311564
Frank Angelo Ciccotto	President	1 Sep 2015	Other	1423968
John Charles Cederroth	Director	1 May 2016	Other	6646937
Barney Joseph Dibenedetto	Director	1 May 2016	Other	1612872
Inc. Intercontinental Exchange	100% parent	1 Oct 2016	75% - 100%	46-2286804
Thomas Peter Vitale	Chief compliance officer and secretary	1 Oct 2016	Other	2760291
Anthony Gerald Belcher	Director	1 Oct 2016	Other	3205127
Sandra K Kerr	Vice president, treasurer	1 Oct 2016	Other	6736081
John Franklyn Robbins	Chief compliance officer	1 Sep 2018	Other	1967073

Based in New York

The principal office where Securities Evaluations, Inc. performs its advisory services is located at 100 Church Street, New York, NY 10007, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-656-3101 or by fax 212-771-6537. The normal business hours are 9:00a.m. to 5:00p.m. on Monday - Friday. You can find more information about the New York firm at theice.com.