Denis A. Bovin

EAST WIND SECURITIES

New York, NY 10019

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CRD#: 27112

Professional summary

Denis Alan Bovin is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.

Denis is registered as a RR (Registered Representative) and started their career in finance in 1971. Denis has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 1, Series 24 and Series 40 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 Denis Alan Bovin'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

July 23, 2024 - Present

EAST WIND SECURITIES, LLC

Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019

CRD#: 148032

New York, NY

Past

September 17, 2014 - December 18, 2023

EVERCORE GROUP L.L.C.

CRD#: 42405

NEW YORK, NY

Past

May 16, 2014 - September 23, 2014

EAST WIND SECURITIES, LLC

CRD#: 148032

NEW YORK, NY

Past

December 21, 2010 - May 21, 2014

STONE KEY SECURITIES LLC

CRD#: 152341

NEW YORK, NY

Past

September 12, 2008 - December 31, 2010

HUDSON PARTNERS SECURITIES LLC

CRD#: 145425

GREENWICH, CT

Past

June 13, 2008 - July 14, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 11, 1992 - June 5, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 8, 1971 - March 17, 1992

SALOMON BROTHERS INC.

CRD#: 740

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

California
(7/23/2024)

Connecticut
(7/23/2024)

Florida
(7/23/2024)

Massachusetts
(7/23/2024)

New Jersey
(7/23/2024)

New York
(7/23/2024)

Exams

State Security Law Exam

Series 63

Date: 8/22/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/6/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 11/15/1976

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

EAST WIND SECURITIES, LLC

CRD#: 148032 / SEC#: , 8-67955

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

810 Seventh Avenue 35th Floor, New York, NY 10019

Mailing Address

810 Seventh Avenue 35th Floor, New York, NY 10019

Phone number

(646) 202-1500

Established

New York since 04/08/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EAST WIND HOLDINGS, LLC	SHAREHOLDER
ROTHSCHILD, PETER HOWARD	GENERAL SECURITIES PRINCIPAL	1291471
SCHWARTZ, JOSHUA NATHANIEL	CEO, MANAGING PARTNER, CCO, EXEC. REP.	2556740
SINGER, STEVEN FREDERIC	FINOPS, PFO & POO	2360737

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Denis A. Bovin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Denis Alan Bovin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVERCORE GROUP L.L.C.

EAST WIND SECURITIES, LLC

STONE KEY SECURITIES LLC

HUDSON PARTNERS SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2014

Series 7TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/6/1971

Series 24

Date: 1/2/2023

Series 40

Date: 11/15/1976

FINRA

Current Firm

EAST WIND SECURITIES, LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EAST WIND SECURITIES, LLC

TRUST BUT VERIFY

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