← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（10/15/2021）
CRI SECURITIES, LLC · 所有者与执行高管（CRD 22589）
机构事实页：本库未收录该机构事实页 | 官方原文：IAPD firm-summary/22589
Schedule A · 直接所有者（12 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| CONNOLLY, GEORGE IGNATIUS | 个人 | PRESIDENT, CHIEF EXECUTIVE OFFICER & MEMBER OF BOARD OF GOVERNORS | 是 | NA |
| VASOS, DAVID NMN | 个人 | SR VICE PRESIDENT, MEMBER OF THE BOARD OF GOVERNORS | 是 | NA |
| RICHARDS, PHILLIP CROCE | 个人 | CHAIRMAN OF THE BOARD OF GOVERNORS | 是 | NA |
| PHILLIP C. RICHARDS AND SUSAN B. RICHARDS JOINT LIVING TRUST | 境内实体 | SHAREHOLDER | 是 | D |
| DEUTSCHLANDER, EDWARD GEORGE | 个人 | MEMBER OF BOARD OF GOVERNORS | 是 | NA |
| MARTINS, ANTHONY JOSEPH | 个人 | MEMBER OF BOARD OF GOVERNORS | 是 | NA |
| ZELLMER, KJIRSTEN GARETH | 个人 | MEMBER OF BOARD OF GOVERNORS, VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER - FINOP | 是 | NA |
| RICHARDS, PHILLIP CROCE | 个人 | TRUSTEE OF THE PHILLIP C. RICHARDS AND SUSAN B. RICHARDS JOINT LIVING TRUST | 是 | NA |
| MINNESOTA LIFE INSURANCE COMPANY | 境内实体 | SHAREHOLDER | 是 | D |
| CARPENTER, KIMBERLY KAY | 个人 | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 是 | NA |
| OBRIEN, KERI SUE | 个人 | SECRETARY | — | NA |
| FERGUSON, KRISTIN MARY | 个人 | VICE PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & FINOP | 是 | NA |
Schedule B · 执行高管（3 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | SHAREHOLDER | 是 |
| SECURIAN HOLDING COMPANY | SHAREHOLDER | 是 |
| MINNESOTA MUTUAL COMPANIES, INC. | SHAREHOLDER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
