Donaldson, Lufkin & Jenrette Securities Corporation (New York)

Name: Donaldson, Lufkin & Jenrette Securities Corporation
Address: Eleven Madison Avenue, New York, NY, 10010
Telephone: 212-325-2000

Donaldson, Lufkin & Jenrette Securities Corporation is a pension cosultant based in New York. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 44 other states.

Donaldson, Lufkin & Jenrette Securities Corporation provides pension consulting services, selection of other advisers, security ratings or pricing services, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Donaldson, Lufkin & Jenrette Securities Corporation for their services and products based on a percentage of assets under management, subscription fees, and fixed fees. 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 Donaldson, Lufkin & Jenrette Securities Corporation

Jeffrey Merl Peek joined the executive team most recently as the Board Member, Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joe Lindell Roby	Board member	1 Nov 2000	Other	1218976
Hamilton Evans James	Board member, managing director	1 Nov 2000	Other	821911
Anthony F Daddino	Managing director	1 Nov 2000	Other	838217
Michael John Campbell	Managing director	1 Nov 2000	Other	39294
Gates Helms Hawn	Managing director	1 Nov 2000	Other	733187
Inc. Credit Suisse First Boston (Usa)	Parent of applicant	1 Nov 2000	75% - 100%	13-1898818
Richard Frederick Brueckner	Managing director	1 Nov 2000	Other	878486
Joseph Thomas Mclaughlin	Board member, managing director	1 Nov 2000	Other	2955185
Carlos Onis	Board member, managing director	1 Nov 2000	Other	2119878
Richard Edward Thornburgh	Board member, managing director	1 Nov 2000	Other	828020
Charles Gould Iii Ward	Board member, managing director	1 Nov 2000	Other	872995
Lewis Howard Wirshba	Treasurer, managing director	1 Nov 2000	Other	1862035
Frank Joseph Jr Decongelio	Chief operations officer	1 Nov 2000	Other	872655
David Campbell Mr Fisher	Chief financial officer and finop	1 Nov 2000	Other	1785797
Dean Wilson Ervin	Managing director	1 Nov 2000	Other	1886575
Garrett Michael Moran	Managing director	1 Nov 2000	Other	1079336
Robert Charles Obrien	Managing director	1 Nov 2000	Other	1952444
David M Brodsky	General counsel	1 Nov 2000	Other	4274752
Lori Michele Russo	Secretary	1 Nov 2000	Other	2540751
Allen Dennis Wheat	Board member, president & ceo	1 Nov 2000	Other	1498734
Brady William Dougan	Board director, managing director	1 Nov 2000	Other	2423049
Robert Dominick Tombolini	Director of compliance	1 Nov 2000	Other	1325845
Louise Guarneri	Compliance registered options principal	1 Nov 2000	Other	1109022
Jeffrey Martin Lau	Compliance registered options principal	1 Feb 2001	Other	1103586
John Joseph Mack	Chief executive officer	1 Jul 2001	Other	316052
Jeffrey Martin Lau	Director of compliance	1 Sep 2001	Other	1103586
Robert Xavier Reilly	Senior registered options principal	1 Feb 2002	Other	2210571
Jeffrey Merl Peek	Board member, director	1 May 2002	Other	1100384
Gary G. Lynch	General counsel	1 May 2002	Other	xxx-xx-xxxx

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership
Credit Suisse Group	Stockholder	1 Jan 1997	75% - 100%
Credit Suisse First Boston	Shareholder	1 Feb 1998	50% - 75%
Credit Suisse Group	Shareholder	1 Feb 1998	25% - 50%
Inc. Credit Suisse First Boston	Shareholder	1 Nov 2000	75% - 100%

Based in New York

The principal office where Donaldson, Lufkin & Jenrette Securities Corporation performs its advisory services is located at Eleven Madison Avenue, New York, NY 10010 The mailing address of the firm is One Madison Avenue, New York, NY 10010 3629. An additional office of the firm is in Jersey City, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-325-2000 or by fax 212-325-8224. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.dlj.com.