Penson Worldwide INC
SEC CIK 1123541 · PNSN · last insider filing 2012-10-03
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Kelly David M | Director | filed 2006 - 2012 |
| Basso Robert S | Director | filed 2012 - 2012 |
| Johnson David | Director | filed 2006 - 2012 |
| Schueneman Diane Lynn | Director | filed 2011 - 2012 |
| Pendergraft Philip A | Director · Chief Executive Officer | filed 2006 - 2012 |
| Engemoen Roger J JR | Director · Chairman | filed 2006 - 2012 |
| Reed David A | Director | filed 2006 - 2011 |
| Johnson Thomas Richard | Director | filed 2006 - 2011 |
| Dyer James S | Director | filed 2006 - 2011 |
| Son Daniel P JR | Director · President | filed 2006 - 2010 |
| Dan Bernard W | Director | filed 2008 - 2008 |
| Steinhart Ronald G | Director | filed 2006 - 2008 |
| Drew John | Director | filed 2006 - 2007 |
| Gray Joseph Kelly | Director | filed 2006 - 2007 |
| Gross William D | Director | filed 2006 - 2007 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Mccain Richard Barto | Chief Financial Officer | filed 2012 - 2012 |
| Engel Bryce | President | filed 2009 - 2012 |
| Koslow Andrew B | Senior VP - General Counsel | filed 2006 - 2012 |
| Mcaleer Kevin W | Chief Financial Officer | filed 2006 - 2012 |
| Chochon Michael D | Chief Financial Officer | filed 2012 - 2012 |
| Smith Mary Agnes | Global Controller | filed 2006 - 2012 |
| Yancey Charles William | CEO of Registrant Subsidiary | filed 2009 - 2012 |
| Presby Mark M | Controller | filed 2009 - 2011 |
| Raphael Eran Simon | Executive Vice President | filed 2009 - 2010 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.