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AM

Ashwin Mahabaleswara

DWM FINANCE LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6640009
AM

Professional summary

Ashwin Mahabaleswara is a registered financial professional currently at DWM FINANCE LLC located in Stamford, Connecticut.

Ashwin is registered as a RR (Registered Representative) and started their career in finance in 2016. Ashwin has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

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) - BD

Click below to view Ashwin Mahabaleswara'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

August 29, 2016 - Present

DWM FINANCE LLC

Office #1: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902Office #2: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
BD
CRD#: 137513
Stamford, CT

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: 8/20/2020
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: 8/27/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DF
DWM FINANCE LLC
DWM FINANCE LLC

CRD#: 137513 / SEC#: , 8-67091

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

Main Address
100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
Mailing Address
100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
Phone number
(203) 655-5453
Established
Connecticut since 03/30/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DWM HOLDINGS LLCOWNER
ARORA, VRINDAFINOP7784034
HARRIS, PATRICK EUGENECCO5748909
JOHNSON, PETER HALLOCKMEMBER4920382

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

DWM FINANCE LLC

CRD#: 137513Stamford, CT 06902

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