ATB CAPITAL MARKETS USA INC.
Adviser information for ATB CAPITAL MARKETS USA INC. last updated from Form ADV on December 12th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Canada |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | RESEARCH-RELATED SERVICES |
|---|---|
| Compensation | PAYMENTS FOR RESEARCH-RELATED SERVICES AS DETERMINED BY CLIENT |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-128511 |
|---|---|
| SEC ERA File Number | 801-128511 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155053 |
| Legal Entity Identifier | 549300M9WLX8E03RLW17 |
Principal Office
#410, 585 8TH AVENUE SWCALGARY, ALBERTA
Canada
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 403-539-8600, Fax: None
Chief Compliance Officer
EDWARD KAY
3530 66 WELLINGTON STREET WEST, TD TOWER
TORONTO, ONTARIO
Canada
Tel:
647-876-1501
E***@******M
(Full email address available in API data)
Industry Affiliates
| ATB CAPITAL MARKETS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAY, EDWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| ATB CAPITAL MARKETS INC. | Foreign Entity | – | SHAREHOLDER | 06/2010 | > 75% |
| ATB FINANCIAL | Foreign Entity | ATB CAPITAL MARKETS INC. | SHAREHOLDER | 04/2020 | > 75% |
| PROVINCE OF ALBERTA, CANADA | Foreign Entity | ATB FINANCIAL | SHAREHOLDER | 10/1997 | > 75% |
| PECK, NANCY LYNN | Individual | – | FINOP/CFO | 06/2015 | < 5% |
| EURICH, DARREN LEE | Individual | – | EXECUTIVE REPRESENTATIVE, CEO, MEMBER OF BOARD OF DIRECTORS | 06/2023 | < 5% |