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EN

Edward A. Neugeboren

ALDWYCH SECURITIES LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 2430684
EN

Professional summary

Edward Alan Neugeboren is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1997. Edward has worked at 8 firms and has passed the Series 63, SIE, Series 7 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) - BD

Click below to view Edward Alan Neugeboren'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

October 16, 2023 - Present

ALDWYCH SECURITIES LLC

Office #1: 208 Harbor Drive Suite 204, Stamford, CT 06902
BD
CRD#: 167980
STAMFORD, CT
Past

November 30, 2020 - June 5, 2023

FRONTIER SOLUTIONS, LLC

BD
CRD#: 136102
RICHMOND, VA
Past

April 30, 2013 - August 29, 2018

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

November 25, 2009 - August 17, 2010

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

October 30, 2009 - November 4, 2009

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

February 4, 2008 - March 18, 2013

LEDGEMONT SECURITIES LLC

BD
CRD#: 145009
NEW YORK, NY
Past

December 8, 2004 - January 25, 2008

MIDDLEBURY SECURITIES LLC

BD
CRD#: 122602
WEYBRIDGE, VT
Past

June 29, 1998 - July 29, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 29, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT

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: 4/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 167980Stamford, CT 06902

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