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Sven M. Fyhr

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CRD#: 1933675
SF

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.

Sven Magnus Fyhr, who also goes by Magnus Sven Fyr, was a registered financial professional .

Sven is a previously registered financial professional and started their career in finance in 1989. Sven had worked at 9 firms and has passed the Series 63, Series 6TO, Series 99TO, SIE, Series 86, Series 87, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Magnus Sven Fyr

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

November 16, 2020 - June 15, 2022

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

March 2, 2016 - April 10, 2019

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
HOUSTON, TX
Past

March 28, 2014 - February 3, 2016

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
HOUSTON, TX
Past

April 18, 2011 - May 9, 2013

D/B/A CLARKSONS PLATOU SECURITIES

BD
CRD#: 113325
HOUSTON, TX
Past

July 22, 1998 - May 18, 2006

JEFFERIES LLC

BD
CRD#: 2347
HOUSTON, TX
Past

March 18, 1998 - July 23, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 4, 1996 - March 17, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

November 27, 1995 - September 30, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 20, 1989 - July 19, 1989

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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: 5/27/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative 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 86
Date: 12/7/2012
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 9/2/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/10/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/17/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2011
General Securities Principal Examination

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

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

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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