EA
Ethan Alpert
WESTWOOD CAPITAL
New York, NY 10022
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CRD#: 6590817
EA
Professional summary
Ethan Alpert is a registered financial professional currently at WESTWOOD CAPITAL, LLC located in New York, New York.
Ethan is registered as a RR (Registered Representative) and started their career in finance in 2016. Ethan has worked at 1 firm and has passed the SIE and Series 79 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Ethan Alpert'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®
NoneExperience
Current
March 8, 2016 - Present
WESTWOOD CAPITAL, LLC
Office #1: 437 Madison Avenue 24th Floor, New York, NY 10022BD
CRD#: 39551
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
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTWOOD CAPITAL, LLC
WESTWOOD CAPITAL HOLDINGS | WESTWOOD CAPITAL, LLC
CRD#: 39551 / SEC#: , 8-48745
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
437 Madison Avenue 24th Floor, New York, NY 10022
Mailing Address
437 24th Floor, New York, NY 10022
Phone number
(212) 867-3200
Established
Delaware since 05/19/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
