Financial Stocks Inc (Cincinnati)

Name: Financial Stocks Inc
Address: 441 Vine Street, Cincinnati, OH, 45202
Telephone: 513-746-2200

Financial Stocks Inc is a large advisory firm based in Cincinnati. It manages $6.92 billion of regulatory assets for 32 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Ohio.

Financial Stocks provides 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.

Financial Stocks: assets under management

The assets under management (AUM) of Financial Stocks Inc is $6.92 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 4452% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.92 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $216.18 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial Stocks Inc for their services and products based on a percentage of assets under management and performance-based 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 Financial Stocks Inc

John Magrish Stein has been acting as President since 1 May 1995. Christopher Allen Nelson joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Steven Neal Stein	Chairman & ceo	1 May 1995	25% - 50%	4373099
John Magrish Stein	President	1 May 1995	Other	4373119
Alexander David Warm	Director	1 May 1995	Other	4373121
Stanley Vigran	Director	1 May 1995	Other	4373129
Charles Frederick Croog	Vice president	1 Jul 1998	Other	4373137
James Bastin	Chief financial officer	1 Feb 2000	Other	4373133
Philip Schultz	Executive vice president	1 Mar 2002	Other	4519766
John Jerome Penote	Chief financial officer	1 May 2002	Other	4649917
Nedret Engin Vidinli	Vice president and senior analyst	1 May 2002	Other	4650284
Robert Dowell Tye	Vice president, director of marketing	1 Oct 2003	Other	850424
Tayfun Tuzun	Vice president & senior analyst	1 Aug 2004	Other	4865163
Monique Riccobelli	Vice president	1 Sep 2004	Other	4865167
Christopher Allen Nelson	Chief compliance officer	1 Mar 2007	Other	2384935

Based in Cincinnati

The principal office where Financial Stocks Inc performs its advisory services is located at 441 Vine Street, Cincinnati, OH 45202, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 513-746-2200 or by fax 513-746-2201. The normal business hours are 8:30 a.m.-5:30 p.m. on Monday - Friday. You can find more information about the New York firm at www.finstocks.com.