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Financial Services (for Individuals and Families) in New York

Updated Oct 05 2014 04:43 PM EST with 98 listings

Financial Market Information Sources (5 listings total)

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New York Cotton Exchange

Offers reports for investors in cotton , the FCOJ and FINEX
1 North End Ave., Financial District NY 10048 Tel 212-748-4000
Emergencies: 877-877-8890; Fax: 212-742-5026
Membership: 212-748-4164; Website: nyce.com

Reuters America - East Village

First Ave., East Village NY 10017 Tel 212-355-7424

Reuters America - Midtown

1700 Broadway, Midtown NY 10019 Tel 212-603-3300
Website: reuters.com

Standard & Poor's

Independent, value-added information & analysis of the equities, fixed income, foreign exchange, & commodities markets.
65 Broadway, Financial District NY 10004 Tel 212-770-0234
Tel: 888-800-1183; Website: standardpoor.com

Value Line

220 E. 42nd St., Kips Bay NY 10017 Tel 212-907-1500
Tel: 800-535-8760; Fax: 201-939-9079
E-mail: v/soft@valueline.com; vlcr@valueline.com; Website: valueline.com

Major Retail Brokers & Financial Firms (39 listings total)

114 The firms listed here are the large financial companies that are also well known for their retail brokerage services. They are major players in the financial markets, investment brokerage, underwriting billions of new issues every year and bonds.

Bear Stearns

They have capabilities in corporate finance, mergers and acquisitions, securities research, asset management, foreign exchange, securities lending and custody. Plus many more.
245 Park Ave., Midtown NY 10167 Tel 212-272-2000
E-mail: infocenter@bear.com; Website: bearstearns.com

Dean Witter (Morgan Stanley Dean Witter)

Comprehensive brokerage services
Tel 212-419-2861
Website: deanwitter.com

Dean Witter (Morgan Stanley Dean Witter) - Chelsea

2 Pennsylvania Plaza, Chelsea NY 10121 Tel 212-613-6700

Dean Witter (Morgan Stanley Dean Witter) - Greenwich Village

1221 Avenue of Americas, Greenwich Village NY 10036

Dean Witter (Morgan Stanley Dean Witter) - Greenwich Village

1345 Avenue of Americas, Greenwich Village NY 10019 Tel 212-903-7600

Dean Witter (Morgan Stanley Dean Witter) - Midtown

900 Third Ave., Midtown NY 10022 Tel 212-705-4500

Dean Witter (Morgan Stanley Dean Witter) - Midtown

330 Madison Ave., Midtown NY 10017 Tel 212-883-7700

Dean Witter (Morgan Stanley Dean Witter) - Theater District

1585 Broadway, Theater District NY 10036 Tel 212-314-7900

Direct Brokerage Inc.

Complete private client, corporate finance services. Member New York and American Stock Exchanges
39 Broadway, Financial District NY 10006 Tel 212-742-8178
Fax: 212-292-3348

Merrill Lynch

Merrill Lynch is a leading global financial advisory and management company. It offers a diverse range of financial services, including personal financial planning and investment banking and advisory services.
Tel 800-999-1185
Website: ml.com

Merrill Lynch - Battery Park

World Financial Center, Battery Park NY 10281 Tel 212-449-1000
Fax: 212-236-4384

Merrill Lynch - Greenwich Village

1251 Avenue of Americas, Greenwich Village NY 10020 Tel 212-382-8500

Merrill Lynch - Midtown

650 Fifth Ave., Midtown NY 10019 Crossing 52nd St., Tel 212-603-8350

Merrill Lynch - Queens

112 --05 Queens Blvd., Queens NY 11375 Forest Hills, Tel 800-289-9179

Morgan Stanley Group Inc.

1585 Broadway, Theater District NY 10036 Tel 212-761-4000

Paine Webber - Financial District

140 Broadway, Financial District NY 10005 Tel 212-607-3200
Website: painewebber.com

Paine Webber - Greenwich Village

1285 Avenue of Americas, Greenwich Village NY 10019 Tel 212-713-7800

Paine Webber - Greenwich Village

1285 Avenue of Americas, Greenwich Village NY 10019 Tel 212-649-8000

Paine Webber - Greenwich Village

1251 Avenue of Americas, Greenwich Village NY 10020 Tel 212-626-8500

Paine Webber - Midtown

140 Park Ave., Midtown NY 10166 in Met Life Bldg., Tel 212-370-8700

Paine Webber - Midtown

200 Park Ave., Midtown NY 10166 Tel 212-309-3000

Paine Webber - Midtown

590 Madison Ave., Midtown NY 10022 Tel 212-333-8800

Paneth, Haber & Zimmerman, LLP

600 Third Ave., Murray Hill NY 10016 Tel 212-503-8933
Fax: 212-503-8976; E-mail: aviola@paneth.com
Website: paneth.com

Prudential Securities, Inc. - Fashion District

1411 Broadway, Fashion District NY 10018 Tel 212-704-8300
Fax: 212-704-8497

Prudential Securities, Inc. - Financial District

1 Liberty Pl., Financial District NY 10006 Tel 212-406-3380
Fax: 212-978-1013

Prudential Securities, Inc. - Midtown

625 Madison Ave., Midtown NY 10022 Tel 212-750-8770
Fax: 212-303-8719

Prudential Securities, Inc. - Midtown

250 Park Ave., Midtown NY 10177 Tel 212-983-8000
Fax: 212-916-0489

Prudential Securities, Inc. - Rockefeller Center

610 Fifth Ave., Rockefeller Center NY 10020 Tel 212-484-9201
Fax: 212-484-9216

Salomon Smith Barney - Chelsea

1 Pennsylvania Plaza, Chelsea NY 10119 Tel 212-643-5700

Salomon Smith Barney - Financial District

1 New York Plaza, Financial District NY 10004 Tel 212-428-5200

Salomon Smith Barney - Greenwich Village

1345 Avenue of Americas, Greenwich Village NY 10019 Tel 212-586-5505

Salomon Smith Barney - Kips Bay

605 Third Ave., Kips Bay NY 10158 Tel 212-878-3900

Salomon Smith Barney - Midtown

40 W. 57th St., Midtown NY 10019 Tel 212-265-2330

Salomon Smith Barney - Midtown

767 Fifth Ave., Midtown NY 10153 Tel 212-230-3400
Website: smithbarney.com

Salomon Smith Barney - Midtown

250 Park Ave., Midtown NY 10177 Tel 212-692-2800

Salomon Smith Barney - Midtown

200 Park Ave., Midtown NY 10017 Tel 212-818-0800

Salomon Smith Barney - Midtown

666 Fifth Ave., Midtown NY 10103 Tel 212-816-6000

Salomon Smith Barney - Tribeca

388 Greenwich St., Tribeca NY 10013

Yohalem Gillman & Co

Financial and business advisors for a diverse range of industries as well as to high net worth individuals
477 Madison Ave., Midtown NY 10022 Tel 212-863-1349
Fax: 212-759-2946; E-mail: michaelf@yohalem.com
Website: yohalem.com

Other Retail Brokerage Firms (9 listings total)

America First Associates

Full service brokerage firm. Website: on-line recommendations & research. Member of NASD, SIPC, & MRSB.
415 Madison Ave., Midtown NY 10017 Tel 212-644-8520
Tel: 888-682-6973; Fax: 212-644-3515
Website: aftrader.com

Bernard L. Madoff Investment Securities

Serving banks, securities firms, & institutional investors. Website offers stock quotes & research information to registered clients.
885 Third Ave., Sutton Place NY 10022 Tel 212-230-2424
Fax: 212-486-8178; E-mail: mdm@madoff.com
Website: madoff.com

Gruntal & Co. - Financial District

They have full service investment advice. They also have a fine history of service, financial stability and growth.
1 Liberty Pl., Financial District NY 10006 Tel 212-820-8200
Tel: 800-223-9058; Fax: 212-820-7399
Website: gruntal.com

Gruntal & Co. - Kips Bay

605 Third Ave., Kips Bay NY 10158 Tel 212-351-4200

Gruntal & Co. - Lenox Hill

650 Madison Ave., Lenox Hill NY 10022 Tel 212-407-0500
Tel: 800-223-8860; Fax: 212-750-5147

Gruntal & Co. - Midtown

360 Madison Ave., Midtown NY 10017 Tel 212-850-9500

Josephthal Lyon Ross

45 Broadway, Financial District NY 10006 Tel 212-859-9200

Seidel & Shaw, LLC

Emerging markets bond brokers
11 Hanover Sq., Financial District NY 10005 Tel 212-269-9008
Tel: 888-661-8109; Fax: 212-269-6070

Waterhouse Securities, Inc.

156 W. 56th St., Midtown NY 10019 Tel 212-333-4500
Tel: 212-908-8280; Tel: 800-934-4450
Tel: 800-988-7799; Fax: 212-333-2773
Website: waterhouse.com

Discount Brokers (12 listings total)

A.B. Watley

Stocks and commodities
40 Wall St., Financial District NY 10005 Tel 888-733-9000
Website: abwatley.com

Brown&Company

They act as a discount broker for qualified clients who make their own investment decisions. It is a member of a variety of domestic stock exchanges. It is a subsidiary of Chase Manhattan Corporation.
Tel 800-822-2829
Website: brownco.com

Charles Schwab - Chelsea

2 Pennsylvania Plaza, Chelsea NY 10001

Charles Schwab - Financial District

44 Wall St., Financial District NY 10005

Charles Schwab - Greenwich Village

1211 Avenue of Americas, Greenwich Village NY 10036

Charles Schwab - Lincoln Center

1886 Broadway, Lincoln Center NY 10023

Charles Schwab - Midtown

445 Park Ave., Midtown NY 10023

Charles Schwab - Midtown

342 Madison Ave., Midtown NY 10173

Charles Schwab - Murray Hill

60 E. 42nd St., Murray Hill NY 10017

Charles Schwab - Uptown East

1105 Third Ave., Uptown East NY 10021

Equity Trading LLC

Focusing on day traders. Website offers on-line trading, market information, & research.
350 Fifth Ave., Midtown South NY 10118 Tel 212-279-7800
Tel: 877-388-7233; Fax: 212-279-7805
E-mail: info@equitytrading.com; Website: equitytrading.com

Olde Discount Stockbrokers

Discount brokers. They do stocks, bonds, mutual funds, research, etc.
30 Broad St., Financial District NY 10004 Tel 212-344-5454

Mutual Funds (fund Management Firms) (13 listings total)

These companies are sell known specialits in the management of "mutual funds".

Alliance Capital Management L.P.

A global, full-service investment management firm, seeking to provide long term growth of capital & growth of dividend income over time.
1345 Avenue of Americas, Greenwich Village NY 10105 Tel 212-969-1000
Fax: 212-969-2229; Website: alliancecapital.com

Dreyfus Corp.

Established in 1951, it is one of the nation's leading mutual fund companies and a subsidiary of Mellon Bank, NA. They provide a full range of banking, investment and trust products and services to small, midsize and large businesses and institutions.
200 Park Ave., Midtown NY 10017 Tel 212-922-6000
Website: dreyfus.com

J. & W. Seligman & Company, Inc.

They have an array of investment opportunities, and is one of Wall Street's most historic firms.
100 Park Ave., Murray Hill NY 10017 Tel 212-850-1864
Tel: 800-221-7844; Website: seligman.com

Lord, Abbett & Co. Investment Managment

767 Fifth Ave., Midtown NY 10153 Tel 800-874-3733
Website: lordabbett.com

Merrill Lynch - Battery Park

World Financial Center, Battery Park NY 10281 Tel 212-449-1000
Fax: 212-236-4384

Merrill Lynch - Greenwich Village

1251 Avenue of Americas, Greenwich Village NY 10020 Tel 212-382-8500

Merrill Lynch - Midtown

650 Fifth Ave., Midtown NY 10019 Crossing 52nd St., Tel 212-603-8350

Merrill Lynch - Queens

112 --05 Queens Blvd., Queens NY 11375 Forest Hills, Tel 800-289-9179

Neuberger Berman Management, Inc.

Manager of no-load equity, bond, municipal and money market funds. Manages trust funds, private and institutional accounts.
605 Third Ave., Kips Bay NY 10158 Tel 212-476-8800
Website: nb.com

Optima Fund Management

Investment advising company specializes in selective hedge fund investments and offers a range of advisory services, individual funds and multi-manager fund programs
10 E. 53rd St., Midtown NY 10022 betw 5th & Madison Ave., Tel 212-484-3000
Fax: 212-484-3001; E-mail: info@optima.com
Website: optima.com

Value Line

220 E. 42nd St., Kips Bay NY 10017 Tel 212-907-1500
Tel: 800-535-8760; Fax: 201-939-9079
E-mail: v/soft@valueline.com; vlcr@valueline.com; Website: valueline.com

Warburg Pincus Funds

Warburg Pincus Funds are no-load mutual funds designed for individual investors who want to access the specialized money-management expertise that they offer.
466 Lexington Ave., Midtown NY 10017 Tel 800-927-2874
Website: warburg.com

Wood Struthers & Winthrop Corp.

WSW is the investment management subsidiary of DLJ and one of the nation's original money managers.
277 Park Ave., Midtown NY 10005 Tel 212-504-4000

Cowan Financial Group

Financial planning for private individuals, businesses and corporations.
350 Fifth Ave., Midtown South NY Tel 212-536-6000
Fax: 212-536-6019; Website: cowanfinancial.com

Finnegan Planning, Inc.

Financial and estate planners
310 Madison Ave., Murray Hill NY 10017
E-mail: info@finnegan.com; Website: finnegan.com

L. J. Altfest & Co.

Specializes in investment management and financial planning.
116 John St., Financial District NY 10038 Tel 212-406-0850
Tel: 888-525-8337; Fax: 212-406-0867
E-mail: lja@altfest; Website: altfest.com

Smith Affilitated Capital Corp.

Asset management and investment advising services.
880 Third Ave., Midtown NY 10022 Tel 212-644-9440
Fax: 212-644-1979; E-mail: info@smithcapital.com
Website: smithcapital.com

College Planning Services (1 listings total)

Babymint.com

College savings program for parents
Website: babymint.com

Private Investment Advisors (14 listings total)

These companies mostly provide fee-based asset management services and do not charge trading commissions. Of course, all the major "brokerage houses" have strong research departments on which your stock broker can draw for recommendations.

BISYS Group, Inc.

Provider of outsourcing info to financial institutions and corporations.
Tel 973-812-8600
Fax: 973-812-1217; Website: bisys.com

Cowan Financial Group

Financial planning for private individuals, businesses and corporations.
350 Fifth Ave., Midtown South NY Tel 212-536-6000
Fax: 212-536-6019; Website: cowanfinancial.com

Direct Brokerage, Inc.

Direct Access & Execution Services. Direct Access provides a direct link for trading professionals to the NYSE & ASE trading floors. Execution Services are available to individuals & institutions.
32 Broadway, Financial District NY 10004 Tel 212-742-8178
Fax: 212-292-3348

Fahnestock & Co. - Financial District

125 Broad St., Financial District NY 10004 Tel 212-668-8000
Toll-Free: 800-221-5588

Fahnestock & Co. - Financial District

45 Broadway, Financial District NY 10006 Tel 212-859-9200
Fax: 800-443-6079

Fahnestock & Co. - Midtown

150 E. 52nd St., Midtown NY 10022 Tel 212-755-6033
Toll-Free: 800-924-3033

Fahnestock & Co. - Midtown

780 Third Ave., Midtown NY 10105 Tel 212-446-4400
Toll-Free: 800-854-0085

Fahnestock & Co. - Midtown

200 Park Ave., Midtown NY 10166 Tel 212-338-5500
Toll-Free: 800-285-6200

H & R Block - CivicCenter

52 Duane St., CivicCenter NY Tel 212-693-1680

H & R Block - Fashion District

555 Seventh Ave., Fashion District NY Tel 212-594-5480
Tel: 212-921-4108

H & R Block - Kips Bay

571 Second Ave., Kips Bay NY Tel 212-725-4870

H & R Block - Murray Hill

99 Park Ave., Murray Hill NY Tel 212-594-5480
Tel: 212-921-4108

Strategies for Wealth Creation & Protection

Member of NASD, SIPC
140 Broadway, Financial District NY 10005 Tel 212-701-7900
Fax: 212-363-6967