Windward Securities Corporation (Concord)

Name: Windward Securities Corporation
Address: One Granite Place, Concord, NH, 03301
Telephone: 603-226-5000

Windward Securities Corporation is a pension cosultant based in Concord. It manages $1.81 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Arkansas, Connecticut, Indiana, and 6 other states.

Windward Securities Corporation provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Windward Securities Corporation: assets under management

The assets under management (AUM) of Windward Securities Corporation is $1.81 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windward Securities Corporation for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Windward Securities Corporation

Charles C Cornelio has been acting as President since 1 May 2003. Kenneth Lee Wagner joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jefferson Pilot Securities Corporation	Direct owner	1 May 2003	75% - 100%	3870
Ronald Richard Angarella	Director chairman & ceo	1 May 2003	Other	1785580
David Edward Armstrong	Vice president	1 May 2003	Other	2465424
David Kenneth Booth	President, director & cmo	1 May 2003	Other	2030529
Warren Thomas Boulter	Vice president & cco	1 May 2003	Other	26914
Lisa Schlosser Clifford	Assistant vice president	1 May 2003	Other	1745774
Charles C Cornelio	Director	1 May 2003	Other	2081506
Carol Robinson Hardiman	Vice president & director	1 May 2003	Other	831061
Marty Eugene Kennedy	Assistant vice president	1 May 2003	Other	2556052
Michael Francis Murray	Assistant vice president	1 May 2003	Other	2074275
Kim Jay Salamy	Assistant vice president	1 May 2003	Other	1545465
Margaret Ann Salamy	Assistant vice president	1 May 2003	Other	1578398
Timothy Larry Stickney	Assistant vice president	1 May 2003	Other	1340004
John Arthur Weston	Vice president	1 May 2003	Other	1244146
Donna Manning Wilbur	Financial reporting mgr.	1 May 2003	Other	2475466
Charles Carmen Cornelio	Vice president/director	1 May 2003	Other	2081506
Frederick C. Tedeschi	Secretary	1 May 2003	Other	4359586
Marty Eugene Kennedy	Vice president	1 Feb 2004	Other	2556052
Michael Francis Murray	Vice president & srop	1 Feb 2004	Other	2074275
Michael Robert Stevenson	Assistant vice president	1 Feb 2005	Other	2432668
Paula Lemire Mango	Asst. vp, privacy and aml officer	1 Apr 2006	Other	1060500
Kenneth Lee Wagner	Chief compliance officer	1 Jun 2006	Other	1113763

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Jefferson Pilot Corporation	Parent company	1 Jun 1997	75% - 100%	56-089-61-80
L.P. (Subsidiary Of Lincoln National Corp.) Lincoln Jp Holdings	Parent company	1 Apr 2006	75% - 100%	35-1140070

Based in Concord

The principal office where Windward Securities Corporation performs its advisory services is located at One Granite Place, Concord, NH 03301, which is also the mailing address of the firm. An additional office of the firm is in Chesterfield, MO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 603-226-5000 or by fax 603-226-5035. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.windwardsecurities.com.