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RT

Reshma A. Tiwari

Some features on this profile are disabled
CRD#: 6152379
RT

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.

Reshma Abhishek Tiwari, who also goes by Reshma A Tiwari, was a registered financial professional .

Reshma is a previously registered financial professional and started their career in finance in 2013. Reshma had worked at 1 firm and has passed the SIE, Series 79, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Reshma A Tiwari

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 24, 2025 - November 7, 2025

ERNST & YOUNG CAPITAL ADVISORS, LLC

BD
CRD#: 152514
New York, NY
Past

November 6, 2013 - October 7, 2024

ERNST & YOUNG CAPITAL ADVISORS, LLC

BD
CRD#: 152514
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/6/2013
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 1/8/2021
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2014
General Securities Principal Examination

Current Firm

E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514 / SEC#: , 8-68461

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

Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EYCA HOLDINGS LLCDIRECT OWNER
ARNOLIE, JENNIFER PICKARDDIRECTOR7072219
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
WOODBY, JOHN PATRICKPRESIDENT, CEO & CONTROL PERSON2526475

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

ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514

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