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AY

Anne Yang-dwyer

STAR MOUNTAIN ADVISORS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 1883123
AY

Professional summary

Anne Yang-dwyer, who also goes by Anne Yang Dwyer, Anne Yang, Anne Yangdwyer, is a registered financial professional currently at STAR MOUNTAIN ADVISORS, LLC located in New York, New York.

Anne is registered as a RR (Registered Representative) and started their career in finance in 1989. Anne has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Yang Dwyer | Anne Yang | Anne Yangdwyer

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 Anne Yang-dwyer's 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

August 17, 2010 - Present

STAR MOUNTAIN ADVISORS, LLC

Office #1: 2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017Office #2: 2 Grand Central Tower 140 East 45th Street 30th Floor Suite 30a, New York, NY, 10017
BD
CRD#: 153505
NEW YORK, NY
Past

August 11, 2014 - April 27, 2016

CADWYN ASSET MANAGEMENT LLC

RIA
CRD#: 168200
NORWALK, CT
Past

December 14, 2006 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 7, 2000 - November 29, 2006

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 28, 1997 - March 30, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 14, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

April 10, 1996 - November 5, 1996

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

April 5, 1993 - December 21, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 24, 1989 - April 26, 1991

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
(8/17/2010)
RR
New York
(8/3/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/26/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/15/2015
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/8/2014
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/19/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SM
STAR MOUNTAIN ADVISORS, LLC
CADWYN POINT PARTNERS LLC | STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505 / SEC#: , 8-68541

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017
Mailing Address
2 Grand Central Tower 140 East 5th Street 30th Floor, Suite 30a, New York, NY, 10017
Phone number
(646) 787-0257
Established
Delaware since 10/12/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STAR MOUNTAIN HOLDINGS, LPOWNER OF STAR MOUNTAIN ADVISORS LLC
BACH, KRISTINAFINOP/CFO4281682
ERICSON, AUSTIN SHAWNCCO7658879
POLIS, JOHN WILLIAMPRESIDENT/CEO5130204

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

STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505New York, NY 10017

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