0000049303-16-000026.txt : 20160622
0000049303-16-000026.hdr.sgml : 20160622
20160622154210
ACCESSION NUMBER: 0000049303-16-000026
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160621
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-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00630
FILM NUMBER: 161726588
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-A
1
primary_doc.xml
MA-A
0000049303
XXXXXXXX
Nancy Meier
312-443-1558
nmeier@hsemuni.com
03-31-2016
Y
HUTCHINSON, SHOCKEY, ERLEY & CO.
000002261
36-2355753
866-00229-00
008-05761
000002261
222 WEST ADAMS-STE 1700
CHICAGO
IL
60606-5308
312-443-1550
312-443-7225
Add
1110 N. Old World 3rd Street
Suite 630
Milwaukee
WI
53203
414-298-9898
Add
100 Maple Park Blvd
Suite 142
St. Clair Shores
MI
48081
586-782-4532
Add
2211 E. Highland Ave.
Suite 240
Phoenix
AZ
85016
602-263-0163
Add
1616 17th Street
Suite 467
Denver
CO
80202
303-785-8983
Add
4545 Post Oak Place
Suite 215
Houston
TX
77027
713-429-4909
N
222 WEST ADAMS-STE 1700
CHICAGO
IL
60606-5308
www.hsemuni.com
Nancy
Lee
Meier
CFO/CCO/Treasurer
222 W. Adams Street
Suite 1700
Chicago
IL
60606
312-443-1550
312-443-7225
nmeier@hsemuni.com
Add
Hutchinson, Shockey, Erley & Co.
1616 17th Street
Suite 467
Denver
CO
80202
303-785-8983
Files of municipal finance transactions and loan arrangements.
HSE Leasing LLC
N
March
IL
02-08-1957
N
46
24
24
24
0
9
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice ME Investments
Advice Use Of MD
Advice On Selection
Other
APPLICANT MAY ENGAGE IN CORPORATE INVESTMENT BANKING ACTIVITIES SUCH AS MERGER AND ACQUISITION ADVICE, ACTING AS A FINDER OR OTHER INTERMEDIARY OR ARRANGING PRIVATE PLACEMENTS OF CORPORATE SECURITIES. APPLICANT MAY ENGAGE IN TRANSACTIONS IN SECURITIES ISSUED BY GOVERNMENT CORPORATIONS OR GOVERNMENT-SPONSORED ENTERPRISES
APPLICANT MAY ACT AS AGENT IN CONNECTION WITH MUNICIPAL LEASE TRANSACTIONS. APPLICANT MAY ALSO ARRANGE LOANS TO GOVERNMENT OR OTHER BORROWERS.
Y
Y
AL, AR, AZ, CA, CO, FL, GA, IL, IN, KS, LA, MA, MD, MI, MO, NE, NM, NY, OH, OK, TX, WI
Y
Broker-dealer municipal securities dealer or government securities broker or dealer
1
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Y
Y
N
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
N
Thomas
Edward
Dannenberg
CEO/President/Shareholder
11-01-2012
B
Y
004801020
Douglas
Richard
Fox
COO/Secretary/Shareholder
04-01-2012
B
Y
001541487
Nancy
Lee
Meier
CFO/CCO/Treasurer/Shareholder
04-01-2001
NA
Y
004233348
Dennis
Joseph
Crowley
Executive VP/Shareholder
12-01-1995
A
Y
001279738
James
Ure
VanMetre
Executive VP/Shareholder
04-01-2008
A
Y
001689243
Paul
Michael
Thompson
Executive VP/Shareholder
06-01-1999
A
Y
000709907
David
Alan
Farnesi
Controller
04-01-2001
NA
N
000502854
Jeffrey
Girard
Belongia
Senior VP/Shareholder
12-01-2001
A
N
001413615
Kurtis
James
Reichert
Senior VP/Shareholder
04-01-2002
A
N
002437591
LISA
LOUISE
CHIONCHIO
SENIOR VICE PRESIDENT
06-01-2015
A
N
002626229
Add
Thomas
Edward
Dannenberg
CEO/President/Shareholder
11-01-2012
B
Y
004801020
Add
Douglas
Richard
Fox
COO/Secretary/Shareholder
04-01-2012
B
Y
001541487
Add
Nancy
Lee
Meier
CFO/CCO/Treasurer/Shareholder
04-01-2001
NA
Y
004233348
Amend
Dennis
Joseph
Crowley
Executive VP/Shareholder
12-01-1995
NA
Y
001279738
Amend
James
Ure
VanMetre
Executive VP/Shareholder
04-01-2008
B
Y
001689243
Add
David
Alan
Farnesi
Controller
04-01-2001
NA
N
000502854
Add
Jeffrey
Girard
Belongia
Senior VP/Shareholder
12-01-2001
A
N
001413615
Add
Kurtis
James
Reichert
Senior VP/Shareholder
04-01-2002
A
N
002437591
Add
LISA
LOUISE
CHIONCHIO
SENIOR VICE PRESIDENT
06-01-2015
A
N
002626229
9-E2
Hutchinson, Shockey, Erley & Co.
000002261
1584032
9-E2
Hutchinson, Shockey, Erley & Co.
000002261
1359220
9-E2
Hutchinson, Shockey, Erley & Co.
000002261
1247164
9-E2
Hutchinson, Shockey, Erley & Co.
000002261
1221288
9-D2
Hutchinson, Shockey, Erley & Co.
000002261
164074
9-E2
Hutchinson, Shockey, Erley & Co.
000002261
104782
9-C2
9-C4
9-C5
HUTCHINSON, SHOCKEY, ERLEY & CO
000002261
1786686
Nancy L Meier
Nancy L Meier
CFO/Treasurer
06-21-2016
000002261
N
N
N
N
N
Y
N
Y
N
N
Y
N
Y
N
N
N
N
N
N
N
N