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HW

Henry J. Wachtendorf Avery

ALDWYCH SECURITIES LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 5375161
HW

Professional summary

Henry James Wachtendorf Avery, who also goes by James W Avery, James Avery, is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Henry is registered as a RR (Registered Representative) and started their career in finance in 2011. Henry has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James W Avery | James Avery

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 Henry James Wachtendorf Avery'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

July 22, 2024 - Present

ALDWYCH SECURITIES LLC

Office #1: 208 Harbor Drive Suite 204, Stamford, CT 06902
BD
CRD#: 167980
STAMFORD, CT
Past

June 27, 2013 - January 19, 2022

ALDWYCH SECURITIES LLC

BD
CRD#: 167980
Stamford, CT
Past

January 13, 2012 - July 8, 2013

EMERSON EQUITY LLC

BD
CRD#: 130032
NEW YORK, NY
Past

June 23, 2011 - October 20, 2011

MAHLER & EMERSON INC.

BD
CRD#: 7826
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
Series 63
Date: 2/13/2012
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: 6/22/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/2013
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)

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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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