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DH

Dennis Holtzapffel

ALDWYCH SECURITIES LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4048713
DH

Professional summary

Dennis Holtzapffel, who also goes by Dennis Roland Holtzapffel, Dennis Holtzapffel, is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 7 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 17 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Roland Holtzapffel | Dennis Holtzapffel

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 Dennis Holtzapffel'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 28, 2021 - Present

ALDWYCH SECURITIES LLC

Office #1: 70 Seaview Avenue, Stamford, CT 06902Office #2: 208 Harbor Drive Suite 204, Stamford, CT 06902
BD
CRD#: 167980
Stamford, CT
Past

March 20, 2019 - February 3, 2020

BANCO DO BRASIL SECURITIES LLC

BD
CRD#: 132701
NEW YORK, NY
Past

September 28, 2016 - February 21, 2018

HAITONG SECURITIES USA LLC

BD
CRD#: 281918
New York, NY
Past

July 5, 2012 - September 5, 2014

BRICKELL GLOBAL MARKETS, INC.

BD
CRD#: 104316
NEW YORK, NY
Past

April 15, 2009 - January 20, 2012

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

January 4, 2006 - March 11, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

November 10, 1999 - December 14, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT

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
(5/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/2017
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 7TO
Date: 4/3/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 17
Date: 11/9/1999
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2016
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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