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SM

Shanker L. Merchant

Some features on this profile are disabled
CRD#: 1627808
SM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shanker Lall Merchant, who also goes by Shankar Lal, Shankar Lall, was a registered financial professional .

Shanker is a previously registered financial professional and started their career in finance in 1991. Shanker had worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shankar Lal | Shankar Lall

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 30, 2018 - January 3, 2025

BCW SECURITIES LLC

BD
CRD#: 144930
WESTPORT, CT
Past

July 24, 2014 - November 1, 2018

CAVU SECURITIES LLC

BD
CRD#: 6906
NEW YORK, NY
Past

September 27, 2012 - July 29, 2014

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

May 18, 2012 - September 26, 2012

ACP SECURITIES, LLC

BD
CRD#: 139049
MIAMI, FL
Past

October 12, 2010 - March 9, 2012

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
NEW YORK, NY
Past

September 2, 2009 - October 15, 2010

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

July 1, 2003 - January 11, 2008

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

October 1, 1999 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 2, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

August 22, 1997 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC
Past

January 7, 1991 - April 11, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/29/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 1/21/1987
Municipal Securities Representative Examination

Current Firm

BS
BCW SECURITIES LLC
BCW SECURITIES LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIVERSIDE MANAGEMENT GROUP LLC100% DIRECT OWNER
BERNEGGER, MARK ANGELOCEO/CCO/GSP4957208
CARPENTER, DAVID JAMESGENERAL SECURITIES PRINCIPAL
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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.

Company Information

BCW SECURITIES LLC

CRD#: 144930

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