| Entity Name: | BABCOCK & BROWN SECURITIES LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Domestic |
| Status: | Active |
| Sub status: | Annual report due |
| Date Formed: | 16 Sep 2013 |
| Business ALEI: | 1117796 |
| Annual report due: | 31 Mar 2025 |
| NAICS code: | 523999 - Miscellaneous Financial Investment Activities |
| Business address: | 29 RIVER ROAD STE 102, COS COB, CT, 06807, United States |
| Mailing address: | 29 RIVER ROAD STE 102, COS COB, CT, United States, 06807 |
| ZIP code: | 06807 |
| County: | Fairfield |
| Place of Formation: | CONNECTICUT |
| E-Mail: | mary.cohane@burnhamsterling.com |
| CIK number | Mailing Address | Business Address | Phone | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| 1589185 | 29 RIVER ROAD, SUITE 102, COS COB, CT, 06807-2745 | 29 RIVER ROAD, SUITE 102, COS COB, CT, 06807-2745 | 203 862-4850 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2024-02-23 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2024-02-23
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2024-02-23 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2023-02-24
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2023-02-24 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2023-02-24
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2023-02-24 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2022-05-17
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2022-05-17 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-05-17
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2022-05-17 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2021-03-03
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2021-03-03 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2021-03-03
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2021-03-03 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2020-03-02
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2020-03-02 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2019-03-04
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2019-03-04 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2019-03-04
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2019-03-04 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2018-02-28
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2018-02-28 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2018-02-28
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2018-02-28 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2017-03-02
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2017-03-02 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2016-02-26
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2016-02-26 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2016-02-26
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2016-02-26 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2015-03-09
| Form type | X-17A-5 |
| File number | 008-69368 |
| Filing date | 2015-03-09 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2015-03-09
| Form type | FOCUSN |
| File number | 008-69368 |
| Filing date | 2015-03-09 |
| Reporting date | 2014-12-31 |
| File | View File |
| Name | Role |
|---|---|
| BURNHAM STERLING & COMPANY LLC | Agent |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| MICHAEL D MORGAN | Officer | 29 RIVER ROAD STE 102, COS COB, CT, 06807, United States | 11 KENMARE RD, LARCHMONT, NY, 10538, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | BURNHAM STERLING SECURITIES LLC | BABCOCK & BROWN SECURITIES LLC | 2019-12-13 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0012252743 | 2024-01-19 | No data | Annual Report | Annual Report | No data |
| BF-0011317666 | 2023-01-23 | No data | Annual Report | Annual Report | No data |
| BF-0010190011 | 2022-04-05 | No data | Annual Report | Annual Report | 2022 |
| 0007182738 | 2021-02-22 | No data | Annual Report | Annual Report | 2021 |
| 0006748549 | 2020-02-10 | No data | Annual Report | Annual Report | 2020 |
| 0006695969 | 2019-12-13 | 2019-12-13 | Amendment | Amend Name | No data |
| 0006392270 | 2019-02-19 | No data | Annual Report | Annual Report | 2019 |
| 0006329477 | 2019-01-21 | No data | Annual Report | Annual Report | 2018 |
| 0006010687 | 2018-01-16 | No data | Annual Report | Annual Report | 2017 |
| 0005694010 | 2016-11-11 | No data | Annual Report | Annual Report | 2016 |
Date of last update: 06 Jan 2025
Sources: Connecticut's Official State Website
