0000049303-14-000027.txt : 20140929
0000049303-14-000027.hdr.sgml : 20140929
20140929183549
ACCESSION NUMBER: 0000049303-14-000027
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140730
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HUTCHINSON, SHOCKEY, ERLEY & CO.
CENTRAL INDEX KEY: 0000049303
IRS NUMBER: 362355753
STATE OF INCORPORATION: IL
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-03024
FILM NUMBER: 141127918
BUSINESS ADDRESS:
STREET 1: 222 WEST ADAMS-STE 1700
CITY: CHICAGO
STATE: IL
ZIP: 60606-5308
BUSINESS PHONE: (312) 443-1560
MAIL ADDRESS:
STREET 1: 222 WEST ADAMS-STE 1700
CITY: CHICAGO
STATE: IL
ZIP: 60606-5308
FORMER COMPANY:
FORMER CONFORMED NAME: HUTCHINSON SHOCKEY ERLEY & CO /BD
DATE OF NAME CHANGE: 20000101
MA-I
1
primary_doc.xml
MA-I
0000049303
XXXXXXXX
NANCY L MEIER
312-443-1558
NMEIER@HSEMUNI.COM
N
RUSSELL
LEE
GOINGS
III
001018872
N
1
0000049303
HUTCHINSON, SHOCKEY, ERLEY & CO.
08-16-2010
N
07-17-2014
0000049303
LOCATED
08-16-2010
811 WILSHIRE BLVD
SUITE 1810
LOS ANGELES
CA
90071
RUSSEL
LEE
GOINGS
III
RUSSELL
LEE
GOINGS
08-2010
HUTCHINSON, SHOCKEY, ERLEY & CO
LOS ANGELES
CA
90071
Y
Y
SR VICE PRESIDENT
01-2009
07-2010
CABRERA CAPITAL MARKETS, LLC
CHICAGO
IL
60603
Y
Y
MANAGING DIRECTOR
04-2007
12-2008
FIRST SOUTHWEST COMPANY
SANTA MONICA
CA
90404
Y
Y
PUBLIC FINANCE
05-1996
03-2007
FIRST ALBANY CORPORATION
LOS ANGELES
CA
90071
Y
Y
SR VICE PRESIDENT
12-1995
04-1996
UNEMPLOYED
LOS ANGELES
CA
90043
N
N
UNEMPLOYED
06-1993
11-1995
LAZARD FRERES & CO, LLC
LOS ANGELES
CA
90067
Y
Y
VICE PRESIDENT
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
07-30-2014
NANCY L. MEIER
CFO/CCO/TREASURER
RUSSELL LEE GOINGS, III
001018872
235797
6J(1)