Base
Customs Broker

ASSOCIATE BROKERAGE CO., INC.

AZ

Cross-Source Intelligence

Arrivals (12 mo)

0

0 active ports

Active Ports

0

Distinct US ports with vessel activity

Compliance

Clear

6 lists screened

Data compiled from CBP Licensed Brokers, OpenSanctions, OFAC SDN, BIS Consolidated Screening List · As of 2026-04-26 · Updates daily

Sanctions & Compliance Screening

OFAC Specially Designated Nationals (SDN)

No matches found

Search of the OFAC SDN list for “ASSOCIATE BROKERAGE CO., INC.” returned no matches.

BIS Consolidated Screening List (CSL)

No matches found

Search of the BIS CSL for “ASSOCIATE BROKERAGE CO., INC.” returned no matches. This covers the BIS Entity List, Denied Persons List, OFAC SDN, ITAR Debarred, and 10 other U.S. export control lists.

SEC Filings (100)

811-04643
2005-03-02

CODE OF ETHICS

View on SEC.gov →
033-12703
2003-04-30

CODE OF ETHICS

View on SEC.gov →
811-04643
2007-02-21

CODE OF ETHICS

View on SEC.gov →
811-04643
2008-02-22

CODE OF ETHICS

View on SEC.gov →
033-12703
2001-07-10

CODE OF ETHICS

View on SEC.gov →
811-04643
2005-02-28

CODE OF ETHICS

View on SEC.gov →
811-04643
2006-02-28

CODE OF ETHICS

View on SEC.gov →
811-04643
2004-02-24

CODE OF ETHICS

View on SEC.gov →
005-47045
2006-05-02

EX-99.1

View on SEC.gov →
001-07463
2023-02-07

8-K

View on SEC.gov →
333-139427
2017-01-26

PRIMARY DOCUMENT

View on SEC.gov →
811-04014
2012-02-22

MERIDIAN FUNDS, INC. FORM 40-24B2

View on SEC.gov →
001-13300
2023-06-23

11-K

View on SEC.gov →
001-13300
2024-06-26

11-K

View on SEC.gov →
868-05190
2016-08-16

SEC filing

View on SEC.gov →
002-89971
2010-08-27

NORTHWESTERN MUTUAL SERIES FUND, INC.

View on SEC.gov →
002-69972
2006-04-19

SEC filing

View on SEC.gov →
868-05190
2016-08-15

SEC filing

View on SEC.gov →
868-05190
2019-10-30

SEC filing

View on SEC.gov →
868-05190
2019-10-30

SEC filing

View on SEC.gov →
333-187668
2015-12-08

CODE OF ETHICS

View on SEC.gov →
074-00027
2002-03-01

U9C3 PERIOD ENDING 12/31/01

View on SEC.gov →
002-69972
2006-04-12

SEC filing

View on SEC.gov →
002-90649
2017-06-01

PRIMARY DOCUMENT

View on SEC.gov →
001-13300
2022-06-17

11-K

View on SEC.gov →
811-04653
2001-03-09

SEC filing

View on SEC.gov →
000-21430
2007-05-04

PRELIMINARY PROXY STATEMENT

View on SEC.gov →
811-00604
2001-03-09

SEC filing

View on SEC.gov →
033-87244
2009-12-18

EX-99P.119 RED ROCKS COE 03-19-2009

View on SEC.gov →
000-56429
2023-11-14

UNAUDITED CONSOLIDATED INTERIM FINANCIAL STATEMENTS FOR THE PERIOD ENDED SEPTEMBER 30, 2023

View on SEC.gov →
000-21430
2007-05-08

PROXY STATEMENT

View on SEC.gov →
000-52000
2007-04-02

SEC filing

View on SEC.gov →
001-10853
2016-06-24

11-K

View on SEC.gov →
001-12449
2006-03-07

AMENDMENT NO.1

View on SEC.gov →
333-08869
2005-03-31

SEC filing

View on SEC.gov →
001-10853
2017-06-26

11-K

View on SEC.gov →
001-10853
2019-06-28

11-K

View on SEC.gov →
000-22163
2002-09-05

PRESS RELEASE

View on SEC.gov →
000-51214
2005-11-17

SEC filing

View on SEC.gov →
811-10207
2004-07-06

MDL_103102

View on SEC.gov →
001-12449
2006-03-07

SEC filing

View on SEC.gov →
000-51214
2005-12-28

SEC filing

View on SEC.gov →
811-06400
2003-01-02

MDL (AIC) AR 10_31_02

View on SEC.gov →
002-69972
2006-03-23

SEC filing

View on SEC.gov →
000-51214
2006-04-13

SEC filing

View on SEC.gov →
000-51214
2005-08-05

SEC filing

View on SEC.gov →
002-98326
2006-09-19

IXIS ADVISOR FUNDS TRUST I

View on SEC.gov →
000-52000
2007-03-27

SEC filing

View on SEC.gov →
000-21430
2007-04-30

PROXY STATEMENT

View on SEC.gov →
000-27327
2001-03-30

HOMESERVICES.COM INC. FORM 10-K

View on SEC.gov →
000-16461
2006-03-20

SEC filing

View on SEC.gov →
002-11101
2006-09-19

IXIS ADVISOR FUNDS TRUST II

View on SEC.gov →
811-10467
2002-11-29

CAUSEWAY INTERNATIONAL VALUE FUND AR 9_02

View on SEC.gov →
001-10853
2018-06-26

11-K

View on SEC.gov →
000-16461
2006-03-08

SEC filing

View on SEC.gov →
001-12449
2006-03-24

SCHEDULE14A AMENDMENT 2

View on SEC.gov →
001-10853
2013-06-27

SEC filing

View on SEC.gov →
033-43529
2007-08-09

SEC filing

View on SEC.gov →
000-51214
2006-12-07

SEC filing

View on SEC.gov →
333-261884
2022-04-20

EXHIBIT 10.13

View on SEC.gov →
000-51214
2006-12-26

SEC filing

View on SEC.gov →
811-06526
2022-04-22

EXHIBIT 99.(P)(4)

View on SEC.gov →
033-22821
2005-12-01

EXHIBIT 99

View on SEC.gov →
049-00149
2002-04-30

ANNUAL REPORT

View on SEC.gov →
033-09504
2005-12-02

EXHIBIT 99

View on SEC.gov →
811-01677
2008-04-25

CODE OF ETHICS. JOHN HANCOCK ADVISORS, LLC

View on SEC.gov →
000-53816
2009-11-02

FORM 10

View on SEC.gov →
002-89725
2004-12-10

EX-99.(P)(4)

View on SEC.gov →
001-10853
2014-06-25

SEC filing

View on SEC.gov →
333-24495
2004-12-20

EX-99.(P)(2)

View on SEC.gov →
002-75807
2008-02-27

CODE OF ETHICS

View on SEC.gov →
811-03115
2002-03-08

SEC filing

View on SEC.gov →
033-24962
2005-02-18

EX-99.(P)(2)

View on SEC.gov →
002-69972
2007-03-13

SEC filing

View on SEC.gov →
811-03623
2005-01-31

EX-99.(P)(23)

View on SEC.gov →
033-04559
2008-02-27

CODE OF ETHICS

View on SEC.gov →
333-125838
2008-01-16

EX-99.(P)(1) CODE OF ETHICS OF THE REGISTRANT

View on SEC.gov →
002-28316
2004-04-30

PERSONAL SECURITIES TRADING POLICY

View on SEC.gov →
811-03006
2008-09-24

CODE OF ETHICS

View on SEC.gov →
333-23017
2004-12-23

EX-99.(P)(2)

View on SEC.gov →
033-12362
2004-04-30

PERSONAL SECURITIES TRADING POLICY

View on SEC.gov →
333-11785
2004-12-17

EX-99.(P)(2)

View on SEC.gov →
002-89725
2004-12-10

EX-99.(P)(2)

View on SEC.gov →
002-75128
2004-12-23

EX-99.(P)(2)

View on SEC.gov →
811-03999
2008-02-27

CODE OF ETHICS

View on SEC.gov →
000-26004
2005-03-31

PRU BACHE DIVERSIFIED FUTURES TRUST 1

View on SEC.gov →
002-91215
2004-11-01

EX-99.(P)(2)

View on SEC.gov →
033-88316
2006-10-02

ARTISAN FUNDS, INC.

View on SEC.gov →
002-76581
2004-04-30

PERSONAL SECURITIES TRADING POLICY

View on SEC.gov →
001-12449
2006-04-27

SEC filing

View on SEC.gov →
333-66895
2004-12-20

EX-99.(P)(2)

View on SEC.gov →
002-72097
2004-12-22

EX-99.(P)(2)

View on SEC.gov →
002-92548
2008-02-27

CODE OF ETHICS FOR JOHN HANCOCK ADVISERS, LLC

View on SEC.gov →
002-91216
2004-11-01

EX-99.(P)(2)

View on SEC.gov →
002-11051
2002-02-14

SEC filing

View on SEC.gov →
033-63943
2004-12-23

AMENDED PERSONAL SECURITIES TRADING POLICY

View on SEC.gov →
002-74139
2005-01-06

EX-99.(P)(2)

View on SEC.gov →
002-76580
2004-04-30

PERSONAL SECURITIES TRADING POLICY

View on SEC.gov →
033-09269
2004-12-17

AMENDED PERSONAL SECURITIES TRADING POLICY OF MANAGER AND DISTRIBUTOR

View on SEC.gov →
811-02485
2008-07-24

CODE OF ETHICS

View on SEC.gov →

Source: SEC EDGAR Full-Text Search

Registry Details

CBP License
BDJ
License Status
Active
Address
AZ
Classification
Customs Broker

Data Sources

Compliance Screening

No sanctions match

No exact name match found in OpenSanctions global database. This is not a guarantee of compliance — always verify through official channels.

Source: OpenSanctions (OFAC SDN, EU, UN, and 40+ additional lists)

Screening Tools

Search the Consolidated Screening List (BIS, OFAC, DDTC) and global sanctions lists.

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