Forbes W. Burtt

BCW SECURITIES LLC

Westport, CT 06880

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CRD#: 1563466

Professional summary

Forbes Winton Burtt, who also goes by Forbes W Burtt, is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Forbes is registered as a RR (Registered Representative) and started their career in finance in 1989. Forbes has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Forbes W Burtt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Forbes Winton Burtt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 24, 2015 - Present

BCW SECURITIES LLC

Office #1: 55 Post Road West, Suite 200, Westport, CT 06880Office #2: 55 Post Road West, Suite 200, Westport, CT 06880

CRD#: 144930

Westport, CT

Past

October 12, 2009 - April 10, 2013

BRYANT PARK CAPITAL SECURITIES, INC.

CRD#: 20433

CONSHOHOCKEN, PA

Past

December 3, 2001 - September 10, 2004

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

February 1, 2001 - November 8, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

January 31, 2000 - January 31, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

January 4, 1999 - January 7, 2000

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 18, 1993 - January 4, 1999

LIBRA INVESTMENTS, INC.

CRD#: 25519

Past

April 23, 1990 - May 26, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 24, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/24/2015)

New York
(4/16/2015)

Exams

State Security Law Exam

Series 63

Date: 11/3/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BCW SECURITIES LLC

CRD#: 144930 / SEC#: , 8-67685

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

55 Post Road West, Suite 200, Westport, CT 06880

Mailing Address

55 Post Road West, Suite 200, Westport, CT 06880

Phone number

(203) 983-3350

Established

Delaware since 05/24/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RIVERSIDE MANAGEMENT GROUP LLC	100% DIRECT OWNER
BERNEGGER, MARK ANGELO	CEO/CCO/GSP	4957208
CARPENTER, DAVID JAMES	GENERAL SECURITIES PRINCIPAL
VIGLIAROLO, JOSEPH CHARLES	FINOP	4880434

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Forbes W. Burtt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Forbes Winton Burtt's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRYANT PARK CAPITAL SECURITIES, INC.

WEDBUSH SECURITIES INC.

TUCKER ANTHONY INCORPORATED

SUTRO & CO. INCORPORATED

U.S. BANCORP INVESTMENTS, INC.

LIBRA INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2009

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2009

Series 24

Date: 12/16/2009

FINRA

Current Firm

BCW SECURITIES LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BCW SECURITIES LLC

TRUST BUT VERIFY

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