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Sagiv Shiv

ALDWYCH SECURITIES LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 2966867
SS

Professional summary

Sagiv Shiv is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Sagiv is registered as a RR (Registered Representative) and started their career in finance in 1998. Sagiv has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Sagiv Shiv'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

January 5, 2023 - Present

ALDWYCH SECURITIES LLC

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

May 17, 2021 - October 31, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

January 4, 2016 - May 16, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

November 16, 2010 - January 5, 2016

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

October 20, 2009 - October 20, 2010

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

June 15, 2007 - September 15, 2009

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

August 16, 2001 - May 16, 2007

PUNK, ZIEGEL & COMPANY, L.P.

BD
CRD#: 26174
NEW YORK, NY
Past

March 23, 1999 - August 24, 2001

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

June 15, 1998 - February 11, 1999

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
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
New York
(1/5/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2007
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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