# EDGAR Filing Document

**Accession Number:** 0001280139
**File Stem:** 0001280139-26-000001
**Filing Date:** 2026-2
**Character Count:** 13696
**Document Hash:** feb9176283ab7dfbda6a59f173cd270d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001280139-26-000001.hdr.sgml**: 20260326

**ACCESSION NUMBER**: 0001280139-26-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260210

**DATE AS OF CHANGE**: 20260326

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PICKWICK CAPITAL PARTNERS, LLC
- **CENTRAL INDEX KEY:** 0001280139

**ORGANIZATION NAME:**
- **EIN:** 200425286
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01870
- **FILM NUMBER:** 26800671

**BUSINESS ADDRESS:**
- **STREET 1:** 445 HAMILTON AVENUE
- **STREET 2:** SUITE 1102
- **CITY:** WHITE PLAINS
- **STATE:** NY
- **ZIP:** 10601
- **BUSINESS PHONE:** 914-220-5881

**MAIL ADDRESS:**
- **STREET 1:** 445 HAMILTON AVENUE
- **STREET 2:** SUITE 1102
- **CITY:** WHITE PLAINS
- **STATE:** NY
- **ZIP:** 10601

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PICKWICK SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20070419

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PICKWICK SECURITIES LLC
- **DATE OF NAME CHANGE:** 20070418

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** JAVELIN SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20070412

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001280139

**Filer CCC:** XXXXXXXX

**Contact Name:** Douglas Greenwood

**Contact Phone:** 914-220-5881

**Contact Email:** greenwoodd@pickwickcapital.com

**Notification Emails:** fazioa@pickwickcapital.com, Greenwoodd@pickwickcapital.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** PICKWICK CAPITAL PARTNERS, LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 130672

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 20-0425286

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-01870

- **Broker-Dealer:** SEC File No: 008-66373, CRD No: 130672

**E. Principal Office and Place of Business:** 445 HAMILTON AVENUE, SUITE 1102, WHITE PLAINS, NY, 10601

**Telephone Number:** 914-220-5881

**Additional Offices of Employment:**

- **Office #1 (Delete):**  | Phone: 203-918-4623

- **Office #2 (Add):**  | Phone: 914-412-9090

- **Office #3 (Delete):**  | Phone: 914-358-3269

- **Office #4 (Add):**  | Phone: 410-935-9334

- **Office #5 (NewAdd):**  | Phone: 914-358-3269

**Mailing Address is Different from Principal Office:** No

**F. Website:** pickwickcapitalpartners.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 08-21-2007

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 114

**B. Municipal Advisory Activities - Employees:** 5

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 5

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Not Applicable

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 4

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 4

**H. Types of Persons Solicited:** 
Public pension funds
, Public pension funds

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Solicitation Of IAB

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 5

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** Yes

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** Yes

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                              | Title/Status       | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Acces Media Advisory LLC          | Member             | 03-15-2010      | NA - less than 5%         | No                | 04-7524563   |  |
| FJC Capital Inc                   | Owner              | 03-15-2010      | A - 5% but less than 10%  | No                |  |  |
| John Gregory Van Schaak           | Member             | 03-15-2010      | A - 5% but less than 10%  | No                |  | 1121171      |
| Karen Marie Gendron               | FinOp              | 08-20-2017      | NA - less than 5%         | No                |  | 1503330      |
| Douglas Charles William Greenwood | President          | 03-15-2007      | C - 25% but less than 50% | Yes               |  | 1192611      |
| David E Danovitch                 | Managing Principal | 04-15-2012      | B - 10% but less than 25% | Yes               |  | 3013350      |
| John Irving Rose                  | Member             | 03-15-2007      | B - 10% but less than 25% | No                |  | 2790640      |
| Jay NMN Kaplowitz                 | Member             | 03-15-2007      | B - 10% but less than 25% | No                |  | 5088074      |
| Chih-Chin NMN Wu                  | Member             | 08-15-2009      | B - 10% but less than 25% | No                |  | 5704739      |
| Jane E Abramczyk                  | CCO                | 08-30-2017      | NA - less than 5%         | No                |  | 4801666      |

### Schedule B: Indirect Owners

| Owning Entity             | Name                    | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| FJC Capital Inc           | Francis Joseph Calcagno | Owner          | 03-15-2010      | E - 75% or more  | No                |
| Access Media Advisory LLC | Teresa Miles Walsh      | Owner          | 03-15-2010      | E - 75% or more  | No                |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity             | Name                              | Title/Status       | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Acces Media Advisory LLC          | Member             | 03-15-2010      | NA - less than 5%         | No                | 04-7524563   |  |
|  | Direct      |  | FJC Capital Inc                   | Owner              | 03-15-2010      | A - 5% but less than 10%  | No                |  |  |
|  | Direct      |  | John Gregory Van Schaak           | Member             | 03-15-2010      | A - 5% but less than 10%  | No                |  | 1121171      |
|  | Direct      |  | Karen Marie Gendron               | FinOp              | 08-20-2017      | NA - less than 5%         | No                |  | 1503330      |
|  | Direct      |  | Douglas Charles William Greenwood | President          | 03-15-2007      | C - 25% but less than 50% | Yes               |  | 1192611      |
|  | Direct      |  | David E Danovitch                 | Managing Principal | 04-15-2012      | B - 10% but less than 25% | Yes               |  | 3013350      |
|  | Direct      |  | John Irving Rose                  | Member             | 03-15-2007      | B - 10% but less than 25% | No                |  | 2790640      |
|  | Direct      |  | Jay NMN Kaplowitz                 | Member             | 03-15-2007      | B - 10% but less than 25% | No                |  | 5088074      |
|  | Direct      |  | Chih-Chin NMN Wu                  | Member             | 08-15-2009      | B - 10% but less than 25% | No                |  | 5704739      |
| Delete | Direct      |  | Jane E Abramczyk                  | CCO                | 08-30-2017      | NA - less than 5%         | No                |  | 4801666      |
| NewAdd | Direct      |  | SUZANNE LOUISE RISSER             | CCO                | 12-04-2025      | NA - less than 5%         | No                |  | 1303694      |
|  | Indirect    | FJC Capital Inc           | Francis Joseph Calcagno           | Owner              | 03-15-2010      | E - 75% or more           | No                |  | 13447744     |
|  | Indirect    | Access Media Advisory LLC | Teresa Miles Walsh                | Owner              | 03-15-2010      | E - 75% or more           | No                |  | 2608455      |

### Execution Page

**Signature:** Douglas Greenwood

**Signer Name:** Douglas Greenwood

**Title:** President

**Date:** 01-30-2026

**CRD Number:** 1192611