Banc One Securities Corporation (New York)


Banc One Securities Corporation is a large advisory firm based in New York. It manages $682.03 million of regulatory assets for 3,787 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Banc One Securities Corporation provides financial planning services and market timing services. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Banc One Securities Corporation: assets under management

The assets under management (AUM) of Banc One Securities Corporation is $682.03 million. The firm's AUM has gone down by -49% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Banc One Securities Corporation 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 Banc One Securities Corporation

Michael John Reed has been acting as President since 1 Apr 1995. John Mcdevitt Kramer joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Banc One Capital Holding Corporation Holding company 1 Dec 1994 75% - 100% 31-0738296
Michael John Reed President/director 1 Apr 1995 Other 1553478
David Russell Meuse Director 1 Apr 1995 Other 332943
David Joh Kundert Director 1 Jul 1997 Other 2391348
Daniel Robert Deegan Director 1 Jun 1999 Other 1143339
Jacques Iii Aebli Director 1 Jun 1999 Other 1613928
David Bernard Jonke Director of compliance 1 Jun 1999 Other 3069645
Kevin Lee Martin Cfo/director/finop 1 Jun 1999 Other 2742022
Ellen Fowler Stoutamire Secretary 1 Feb 2001 Other 1819869
John William Irwin Director 1 Feb 2001 Other xxx-xx-xxxx
Gary David Wachs Director of compliance 1 Oct 2001 Other 1208274
Bradford Michael Markham Assistant secretary 1 Feb 2002 Other xxx-xx-xxxx
Charles William Scharf Director 1 May 2003 Other 2123345
David Edwin Donovan Director 1 May 2003 Other 1081912
John Stephen Maclellan President/director 1 May 2003 Other 1050214
Alan Kent Jr Halfenger Chief compliance officer, crop 1 Oct 2004 Other 1715234
William Robert Felker President & ceo 1 Jan 2005 Other 2354456
Teresa Lynn Warta Treasurer & cfo 1 Jan 2005 Other 2055433
Michael John Reed Executive vice president, director 1 Mar 2005 Other 1553478
Ellen Fowler Anderson Assistant secretary 1 Mar 2005 Other 1819869
Bradford Michael Markham Assistant secretary 1 Mar 2005 Other xxx-xx-xxxx
Charles William Scharf Executive vice president, director 1 Mar 2005 Other 2123345
David Edwin Donovan Executive vice president, director 1 Mar 2005 Other 1081912
John Stephen Maclellan Senior vice president, director 1 Mar 2005 Other 1050214
Kevin Lee Martin Executive vice president 1 Mar 2005 Other 2742022
James Huber Davis Chief operations officer 1 Mar 2005 Other 4166100
James Joseph Lukas Chief information officer 1 Mar 2005 Other 4096467
James C. P. Berry Secretary 1 Mar 2005 Other 4361911
Jeffrey L Davis Assistant secretary 1 Mar 2005 Other xxx-xx-xxxx
Timothy Hugh Samson Assistant secretary 1 Mar 2005 Other 4603479
John Mcdevitt Kramer Chief compliance officer 1 Sep 2005 Other 2350116

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Bank One Corporation Indirect parent 1 Sep 1985 75% - 100% 31-0738296
J.P. Morgan Chase & Co. Indirect parent 1 Jul 2004 75% - 100% 13-2624428

Based in New York

The principal office where Banc One Securities Corporation performs its advisory services is located at 270 Park Ave, New York, NY 11017 The mailing address of the firm is 270 Park Ave, New York, NY 11017. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-464-1662 or by fax 212-464-1702. The normal business hours are 8:00 a.m. est - 5:00 p.m. est on Monday - Friday.