Alexander P. Ayer

PICKWICK CAPITAL PARTNERS

White Plains, NY 10601

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CRD#: 2364749

Professional summary

Alexander Philip Ayer JR, who also goes by Sandy Philip Ayer Jr, Sandy Ayer, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1993. Alexander has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandy Philip Ayer Jr | Sandy Ayer

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 Alexander Philip Ayer JR'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

August 14, 2013 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601

CRD#: 130672

White Plains, NY

Past

July 1, 2010 - August 16, 2011

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

October 1, 2008 - February 19, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 2, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

August 2, 1994 - June 2, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 23, 1993 - June 20, 1994

H. RIVKIN & CO., INC.

CRD#: 29459

PRINCETON, NJ

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

New Jersey
(8/14/2013)

New York
(8/14/2013)

Exams

State Security Law Exam

Series 63

Date: 4/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/3/2010

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 7/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/18/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PICKWICK CAPITAL PARTNERS, LLC

JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

445 Hamilton Avenue Suite 1102, White Plains, NY 10601

Mailing Address

445 Hamilton Avenue Suite 1102, White Plains, NY 10601

Phone number

(914) 358-3269

Established

Delaware since 08/21/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GREENWOOD, DOUGLAS CHARLES WILLIAM	PRESIDENT	1192611
DANOVITCH, DAVID E	MANAGING PRINCIPAL, GENERAL COUNSEL	3013350
KAPLOWITZ, JAY	MEMBER
ROSE, JOHN IRVING II	MEMBER	2790640
WU, CHIH-CHUN	MEMBER	5704739
FJC CAPITAL INC.	OWNER
VAN SCHAACK, JOHN GREGORY	MEMBER	1121171
ABRAMCZYK, JANE E	CCO	4801666
ACCESS MEDIA ADVISORY LLC	MEMBER
GENDRON, KAREN MARIE	FINOP	1503330

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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Advisor Monitoring

Firm Stability Insights

Alexander P. Ayer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Philip Ayer JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

H. RIVKIN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/1997

SIE

Date: 10/1/2018

Series 79

Date: 9/3/2010

Series 7

Date: 7/22/1993

Series 24

Date: 10/18/2002

FINRA

Current Firm

PICKWICK CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PICKWICK CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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