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AS

Asit Sen

ALDWYCH SECURITIES LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 2557872
AS

Professional summary

Asit Sen, who also goes by Asit Kumar Sen, Asit Sen, is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Asit is registered as a RR (Registered Representative) and started their career in finance in 1997. Asit has worked at 12 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Asit Kumar Sen | Asit Sen

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 Asit Sen'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

July 18, 2024 - Present

ALDWYCH SECURITIES LLC

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

June 3, 2021 - February 27, 2024

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

May 10, 2019 - March 15, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

April 12, 2017 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 9, 2015 - March 8, 2017

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

May 17, 2013 - November 11, 2015

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

December 12, 2011 - June 3, 2013

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

January 26, 2010 - December 2, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
NEW YORK, NY
Past

October 19, 2009 - November 5, 2009

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

April 12, 2004 - September 9, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 27, 2001 - June 10, 2002

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

June 27, 1997 - July 11, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

January 10, 1997 - June 19, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Connecticut
(7/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 3/11/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 1/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2022
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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