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LA

Lloyd H. Ayer

MUZINICH CAPITAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4138610
LA

Professional summary

Lloyd Hollis Ayer is a registered financial professional currently at MUZINICH CAPITAL LLC located in New York, New York.

Lloyd is registered as a RR (Registered Representative) and started their career in finance in 2000. Lloyd has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 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) - BD

Click below to view Lloyd Hollis Ayer'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

June 23, 2022 - Present

MUZINICH CAPITAL LLC

Office #1: 450 Park Avenue Suite 1800, New York, NY 10022
BD
CRD#: 146017
New York, NY
Past

May 31, 2011 - June 17, 2022

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
BOSTON, MA
Past

March 6, 2009 - May 31, 2011

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
BOSTON, MA
Past

May 10, 2000 - September 29, 2000

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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
(6/23/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2009
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 3
Date: 7/8/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MUZINICH CAPITAL LLC
MUZINICH CAPITAL LLC | PARKBROOK CAPITAL LLC

CRD#: 146017 / SEC#: , 8-67832

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

Main Address
450 Park Avenue Suite 1800, New York, NY 10022
Mailing Address
450 Park Avenue Suite 1800, New York, NY 10022
Phone number
(212) 888-3413
Established
Delaware since 09/05/2007
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MUZINICH & COMPANY INC.MANAGING MEMBER
EVANCHO, ANDREA VADASCCO2393530
LUDWIG, MICHAEL MR.FINOP/CFO4988562
MUZINICH, GEORGE MILANMEMBER1248009

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

MUZINICH CAPITAL LLC

CRD#: 146017New York, NY 10022

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