Niv Harizman

BCW SECURITIES LLC

Westport, CT 06880

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CRD#: 2541825

Professional summary

Niv Harizman is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Niv is registered as a RR (Registered Representative) and started their career in finance in 1995. Niv has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Niv Harizman'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

November 12, 2013 - 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

August 3, 2011 - November 8, 2013

OBERON SECURITIES, LLC

CRD#: 132598

NEW YORK, NY

Past

November 19, 2007 - March 24, 2010

SUMMIT SECURITIES GROUP LLC

CRD#: 143727

NEW YORK, NY

Past

November 3, 2000 - September 27, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 2, 2000 - June 1, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 14, 1999 - May 25, 2000

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 25, 1995 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 2, 1995 - November 14, 1995

DRESDNER KLEINWORT WASSERSTEIN, LLC

CRD#: 22068

NEW YORK, NY

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
(11/13/2013)

New York
(10/7/2014)

Exams

State Security Law Exam

Series 63

Date: 10/7/2014

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: 10/20/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/1/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2002

General Securities Principal 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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Niv Harizman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Niv Harizman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBERON SECURITIES, LLC

SUMMIT SECURITIES GROUP LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

DRESDNER KLEINWORT WASSERSTEIN, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2014

SIE

Date: 10/1/2018

Series 79

Date: 10/20/2013

Series 7

Date: 5/1/1995

Series 24

Date: 11/19/2002

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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