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WZ

Walter E. Zegers

ALDWYCH SECURITIES LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4875569
WZ

Professional summary

Walter Edward Zegers, who also goes by Walter Zegers, is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Walter is registered as a RR (Registered Representative) and started their career in finance in 2004. Walter has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Walter Zegers

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 Walter Edward Zegers'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, 2014 - 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

July 10, 2010 - July 5, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

April 7, 2005 - July 20, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
NEW YORK, NY
Past

December 13, 2004 - March 31, 2005

DRAKE STAR SECURITIES LLC

BD
CRD#: 131338
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
Connecticut
(5/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2004
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: 12/10/2004
General Securities Representative 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)

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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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