Unibank Securities, Inc. (New York)

Name: Unibank Securities, Inc.
Address: 13 15 West 54 Th Street, New York, NY, 10019
Telephone: 212-603-6900

Unibank Securities, Inc. is an adviser based in New York. It manages $254.81 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New Jersey.

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

Unibank Securities: assets under management

The assets under management (AUM) of Unibank Securities, Inc. is $254.81 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $254.81 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $28.31 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Unibank Securities, Inc. for their services and products based on a percentage of assets under management. 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 Unibank Securities, Inc.

Peter Nyegaard has been acting as President since 1 Nov 1998. Andrew Irving Stuttaford joined the executive team most recently as the General Securities Principal.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Unicorp Inc.	Owner	1 Feb 1995	75% - 100%	13-3442282
Peter Nyegaard	Director	1 Nov 1998	Other	3158842
Henrik Bak	Chairman of the board and president	1 Sep 2000	Other	2596064
Joseph Loffredo	Chief financial officer/finop	1 Sep 2000	Other	4211672
Gerard Stephen Murphy	Director	1 Sep 2000	Other	4286330
Finn Benny Pedersen	Director	1 Sep 2000	Other	2860163
Ole Althof Jacobsen	Director	1 Sep 2000	Other	4305753
Andrew Irving Stuttaford	General securities principal	1 Nov 2000	Other	2140256

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership
Unibank A/S	Owner	1 Apr 1990	75% - 100%
Unidanmark A/S	Owner	1 Apr 1990	75% - 100%
Nordic Baltic Holding (Nbh) Ab (Publ)	Owner	1 May 2000	75% - 100%

Based in New York

The principal office where Unibank Securities, Inc. performs its advisory services is located at 13 15 West 54 Th Street, New York, NY 10019, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-603-6900 or by fax 212-603-2859. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at uimusa.com.