Data / Form D filings / ConvergEx Holdings, LLC
ConvergEx Holdings, LLC: Form D filings
ConvergEx Holdings, LLC, a financial services company in New York, NY, filed 2 Form D notices with the SEC in 2009. The latest, on December 15, 2009, reports $5.7 million sold of a $5.7 million offering to 4 investors.
Find out what ConvergEx Holdings, LLC does, who founded it and who invested, beyond what the filing says. $10 of credit on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads every Form D on SEC EDGAR the day it is filed, and this page is that reading. Ask for your own cut (a state, an industry, a size) and new filings arrive in your sheet, CRM, Slack or agent as they land.
Company details from the filing
- Address
- 1633 BROADWAY 48TH FL, New York, NY, 10019
- Phone
- (800) 367-8998
- Industry
- Other Banking and Financial Services
- Entity type
- Limited Liability Company
- Incorporated in
- Delaware
- Year incorporated
- 2006
- Revenue range
- Decline to Disclose
- Exemptions claimed
- Rule 506
- SEC identifier (CIK)
- 1378709
The full lists. Form D filings in New York: 4,357 rows, $123.57, or the new rows each week for $19 a month. Form D filings in Other Banking and Financial Services: 1,280 rows, $64, or the new rows each week for $19 a month. Pay by card with no account. Prices exclude VAT. CSV and Excel files with the columns this page does not show (company, CIK, street, city, state, ZIP and 4 more), which open on your screen as soon as the payment clears and come by email. For agents and scripts: every list with its row count and price is at https://specstream.ai/data/lists.json.
Form D filings
| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
|---|---|---|---|---|---|---|---|
| Dec 15, 2009 | New notice | $5,657,604 | $5,657,604 | $0 | 4 | Dec 1, 2009 | sec.gov |
| Nov 16, 2009 | New notice | $8,752,000 | $8,752,000 | $0 | 145 | Nov 2, 2009 | sec.gov |
Executive officers and directors named in the filing
| Name | Role | Note in the filing |
|---|---|---|
| Richard Brueckner | Director | |
| Charles E. Rappold | Executive Officer | |
| John P. Cahaly | Director | |
| Barry R. Dunn | Director | |
| Thomas P. Gibbons | Director | |
| Collin E. Roche | Director | |
| John E. Sununu | Director | |
| Bruce Van Saun | Director | |
| Joseph M. Velli | Director | |
| Christopher E. Springer | Executive Officer | |
| Sean P. McLaughlin | Director | |
| Constatine S. Mihas | Director | |
| Joseph E. Schenk | Director |
Other financial services companies in New York that filed recently
- BP Commercial Funding Trust II, Series SPL-XI $59.3 million · Nov 6, 2026
- NEXROC SVCV, Inc. offering · Nov 2, 2026
- Supervest Investments, LLC, Series D $28.3 million · Nov 2, 2026
- Supervest Investments, LLC, Series A $13.3 million · Nov 2, 2026
- Brix Investment Holdings, LLC $1 million · Nov 2, 2026
- Nant Global Finance Inc. $2.3 million · Oct 21, 2026
- Auset MCA Fund 1 $1.2 million · Oct 19, 2026
- BP Commercial Funding Trust III, Series SPL-VI $860.5 million · Oct 16, 2026
- Supervest Investments, LLC, Series C $185,000 · Oct 15, 2026
- Supervest Investments, LLC, Series B $7.4 million · Oct 15, 2026
- 1006 Brandon, LLC $899,000 · Oct 14, 2026
- 1414 Hampton, LLC $899,000 · Oct 14, 2026
- 1811 Hampton LLC $1.1 million · Oct 14, 2026
- SpectrAxe Holdings, Inc. $1.2 million · Oct 9, 2026
- BP Commercial Funding Trust II, Series SPL-XIV $239.5 million · Oct 9, 2026
Every Form D from the week of Dec 14, 2009 · All recent filings in New York · All recent Other Banking and Financial Services filings
Read from SEC EDGAR. Amount sold is what ConvergEx Holdings, LLC reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under CC BY 4.0.
$10 of credit on sign-up, no card.