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PK

Philip Kassin

BCW SECURITIES LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 1698329
PK

Professional summary

Philip Kassin is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1987. Philip has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Philip Kassin'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

October 10, 2018 - 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
BD
CRD#: 144930
Westport, CT
Past

April 18, 2018 - September 28, 2018

WATERMILL INSTITUTIONAL TRADING LLC

BD
CRD#: 150892
Jersey City, NJ
Past

August 11, 2010 - May 12, 2016

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
NEW YORK, NY
Past

August 8, 1997 - March 20, 2000

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 6, 1987 - August 22, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(10/10/2018)
RR
New York
(10/10/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/8/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 4/10/1989
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/12/1993
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

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 (30 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#: 144930Westport, CT 06880

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