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AK

Avshalom Y. Kalichstein

Some features on this profile are disabled
CRD#: 2782966
AK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Avshalom Yitzhak Kalichstein was a registered financial professional .

Avshalom is a previously registered financial professional and started their career in finance in 1996. Avshalom had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 62 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 15, 2016 - July 22, 2020

EASTERLY SECURITIES LLC

BD
CRD#: 281103
New York, NY
Past

June 27, 2012 - April 22, 2016

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WAITSFIELD, VT
Past

August 27, 1996 - July 23, 1998

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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: 6/25/2012
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 79
Date: 8/13/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 8/26/1996
Corporate Securities Limited Representative Examination

Current Firm

ES
EASTERLY SECURITIES LLC
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC

CRD#: 281103 / SEC#: , 8-69661

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
138 Conant Street Suite 100, Beverly, MA 01915
Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915
Phone number
(617) 231-4300
Established
Delaware since 07/06/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EASTERLY ASSET MANAGEMENT OPERATIONS LLCSOLE AND MANAGING MEMBER
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER2366022
JULIANO JR, PHILIP LCHIEF EXECUTIVE OFFICER4781008
JUSTER, KENNETH GCHIEF LEGAL OFFICER4788250
MONTAGUE, MICHAELCHIEF FINANCIAL OFFICER5121305
SMITH, ELIZABETH ANNEFINOP1960549

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

EASTERLY SECURITIES LLC

CRD#: 281103

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