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Alejandro Ochoa

Some features on this profile are disabled
CRD#: 4057702
AO

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.

Alejandro Ochoa was a registered financial professional .

Alejandro is a previously registered financial professional and started their career in finance in 2001. Alejandro had worked at 13 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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

June 14, 2021 - June 6, 2023

ALDWYCH SECURITIES LLC

BD
CRD#: 167980
STAMFORD, CT
Past

March 23, 2019 - July 25, 2019

TIGRESS FINANCIAL PARTNERS, LLC

BD
CRD#: 154717
Sunny Isles Beach, FL
Past

June 25, 2013 - March 3, 2017

CP CAPITAL SECURITIES

BD
CRD#: 15029
MIAMI, FL
Past

October 12, 2010 - September 14, 2012

INTERBOLSA SECURITIES, LLC

BD
CRD#: 150715
MIAMI, FL
Past

July 26, 2010 - October 5, 2010

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

June 11, 2008 - July 8, 2010

JESUP & LAMONT SECURITIES CORP

RIA
CRD#: 39056
NEW YORK, NY
Past

May 28, 2008 - July 8, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

February 6, 2007 - May 16, 2008

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
MIAMI, FL
Past

June 6, 2006 - May 16, 2008

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MIAMI, FL
Past

February 17, 2006 - April 6, 2006

AMFIN INVESTMENT SERVICES, INC.

BD
CRD#: 13945
SURFSIDE, FL
Past

August 25, 2005 - October 10, 2005

TRADEPRO SECURITIES, LLC.

RIA
CRD#: 103781
CORAL GABLES, FL
Past

August 24, 2005 - October 10, 2005

TRADEPRO SECURITIES, LLC.

BD
CRD#: 103781
LAWRENCEVILLE, GA
Past

July 15, 2004 - May 18, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
WESTON, FL
Past

April 2, 2004 - May 18, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

March 14, 2002 - April 13, 2004

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

December 21, 2001 - February 20, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 20, 2001 - August 23, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
IAR
Series 66
Date: 11/7/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

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#: 167980

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