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EK

Ethan S. Keswin

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 3071061
EK

Professional summary

Ethan Samuel Keswin is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2000. Ethan has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 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 Ethan Samuel Keswin'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

May 7, 2015 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue Ph, New York, NY 10017
BD
CRD#: 171910
New York, NY
Past

June 27, 2017 - March 6, 2026

OLD CITY PARTNERS LLC

RIA
CRD#: 139582
NEW YORK, NY
Past

July 8, 2014 - April 29, 2015

J.H. DARBIE & CO., INC.

BD
CRD#: 43520
NEW YORK, NY
Past

January 27, 2012 - July 1, 2014

REVA CAPITAL MARKETS LLC

BD
CRD#: 105791
NEW YORK, NY
Past

November 25, 2008 - February 5, 2010

RANGE GLOBAL LLC

BD
CRD#: 104393
NEW YORK, NY
Past

September 16, 2008 - October 31, 2008

CALIBRAX CAPITAL PARTNERS, LLC

BD
CRD#: 1409
COLD SPRING HARBOR, NY
Past

January 3, 2003 - July 18, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX
Past

February 10, 2000 - January 9, 2003

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
California
(6/22/2015)
RR
Connecticut
(1/8/2016)
RR
Florida
(6/22/2015)
RR
Illinois
(2/26/2018)
RR
Massachusetts
(1/9/2018)
RR
Minnesota
(3/20/2017)
RR
New Jersey
(1/9/2018)
RR
New York
(5/7/2015)
RR
Texas
(6/22/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/26/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/29/2000
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 7
Date: 2/9/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

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

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
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#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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