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LN

Leonel J. Narea

Some features on this profile are disabled
CRD#: 2330159
LN

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.

Leonel Julio Narea was a registered financial professional .

Leonel is a previously registered financial professional and started their career in finance in 1993. Leonel had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

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)

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

July 23, 2019 - January 14, 2022

ALDWYCH SECURITIES LLC

BD
CRD#: 167980
STAMFORD, CT
Past

September 26, 2017 - August 21, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 11, 2014 - February 17, 2016

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

July 1, 2013 - June 5, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMI, FL
Past

June 4, 2013 - June 5, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

June 9, 2010 - December 23, 2011

INTERBOLSA SECURITIES, LLC

BD
CRD#: 150715
MIAMI, FL
Past

May 5, 2004 - June 16, 2009

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

May 3, 2001 - August 1, 2003

COUTTS SECURITIES INC.

BD
CRD#: 105260
MIAMI, FL
Past

July 1, 1998 - July 1, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 6, 1995 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

September 8, 1993 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

BD
CRD#: 31797

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
IAR
Series 66
Date: 1/16/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/8/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/13/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/1997
General Securities Principal Examination

Current Firm

AS
ALDWYCH SECURITIES LLC
ALDWYCH SECURITIES LLC

CRD#: 167980 / SEC#: , 8-69286

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

Main Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Mailing Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Phone number
(212) 319-2501
Established
New York since 01/17/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ACP CAPITAL MARKETS LLCSOLE OWNER
BISHOP, MARK JOHNMANAGING MEMBER, CCO, CFO2868804
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event4

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

ALDWYCH SECURITIES LLC

CRD#: 167980

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