Mitchell D. Thaw

BCW SECURITIES LLC

Westport, CT 06880

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CRD#: 1949519

Professional summary

Mitchell D Thaw, who also goes by Mitchell David Thaw, is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Mitchell is registered as a RR (Registered Representative) and started their career in finance in 1994. Mitchell has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mitchell David Thaw

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 Mitchell D Thaw'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 2, 2024 - 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

March 7, 2023 - February 8, 2024

SENTINEL ASSET MANAGEMENT, LLC

RIA

CRD#: 302082

WALLINGFORD, CT

Past

January 17, 2020 - December 9, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

STAMFORD, CT

Past

October 4, 2017 - October 28, 2019

BCW SECURITIES LLC

CRD#: 144930

WESTPORT, CT

Past

April 4, 2014 - November 17, 2015

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

October 4, 2011 - July 23, 2012

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

September 22, 2008 - September 13, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 6, 2000 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 18, 1998 - January 22, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

November 2, 1994 - February 15, 1995

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

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
(10/3/2024)

New York
(10/5/2024)

Exams

State Security Law Exam

Series 63

Date: 10/4/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/6/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1998

General Securities Representative 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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Firm Stability Insights

Mitchell D. Thaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchell D Thaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENTINEL ASSET MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BCW SECURITIES LLC

JEFFERIES LLC

STERNE, AGEE & LEACH, INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

DB ALEX. BROWN LLC

NATWEST MARKETS SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/2024

Series 65

Date: 3/6/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1998

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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