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EB

Emil Botvinnik

Some features on this profile are disabled
CRD#: 4359481
EB

Professional summary

Emil Botvinnik was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Emil is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Emil had worked at 11 firms, which includes WORDEN CAPITAL MANAGEMENT LLC, SW FINANCIAL, NEWPORT COAST SECURITIES INC., WINDSOR STREET CAPITAL LP, BROOKSTONE SECURITIES INC., ROCKWELL GLOBAL CAPITAL LLC, FIRST MIDWEST SECURITIES INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, INVESTORS CAPITAL CORP., LADENBURG THALMANN & CO. INC., JOSEPH STEVENS & CO. INC..

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

October 24, 2017 - February 8, 2018

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
NEW YORK, NY
Past

November 17, 2015 - October 23, 2017

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

November 5, 2014 - November 17, 2015

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

June 19, 2012 - November 17, 2014

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
MIAMI BEACH, FL
Past

February 17, 2012 - June 20, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
MIAMI BEACH, FL
Past

March 23, 2011 - March 7, 2012

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

September 15, 2009 - March 24, 2011

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

September 6, 2007 - September 8, 2009

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
FT. LAUDERDALE, FL
Past

April 20, 2007 - August 31, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
MIAMI, FL
Past

November 7, 2005 - April 23, 2007

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
MIAMI, FL
Past

July 4, 2005 - November 10, 2005

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, 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
Series 63
Date: 8/2/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/8/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2005
General Securities Representative Examination

Current Firm

WC
WORDEN CAPITAL MANAGEMENT LLC
WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: , 8-68010

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WORDEN, JAMIE JOHNCEO, MEMBER4637404
BODKIN, GREGORY PATRICKCCO3008389
BORGNER, RICHARD REISSCOO/MUNICIPAL PRINCIPAL/ROSFP1104666
CUCCIA, GARY JOHNFINOP1386493

Disclosures

Regulatory Event6
Arbitration12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

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