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AT

Apoorv Tandon

4170 SECURITIES LLC
CHICAGO, IL 60654
Some features on this profile are disabled
CRD#: 6820674
AT

Professional summary

Apoorv Tandon is a registered financial professional currently at 4170 SECURITIES LLC located in Chicago, Illinois.

Apoorv is registered as a RR (Registered Representative) and started their career in finance in 2018. Apoorv has worked at 2 firms and has passed the Series 66, 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 Apoorv Tandon'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

June 5, 2025 - Present

4170 SECURITIES LLC

Office #1: 372 West Ontario Street Suite 502, Chicago, IL 60654
BD
CRD#: 326718
CHICAGO, IL
Past

August 20, 2018 - June 10, 2025

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
CHICAGO, IL
Past

July 30, 2018 - June 10, 2025

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
CHICAGO, IL

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
IAR
Series 66
Date: 8/20/2018
Uniform Combined 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: 7/30/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

4S
4170 SECURITIES LLC
4170 SECURITIES LLC

CRD#: 326718 / SEC#: , 8-71102

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

Main Address
372 West Ontario Street Suite 502, Chicago, IL 60654
Mailing Address
372 West Ontario Street Suite 400, Chicago, IL 60654
Phone number
(312) 912-7336
Established
Illinois since 03/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
4170 HOLDINGS LLCMEMBER
ASTON, JONATHAN PETERCHIEF RISK OFFICER3182932
NICKS, BRENT PATRICKCHIEF COMPLIANCE OFFICER4067773
SILBERBERG, CRAIG DMANAGER
WILSON, CHARLENE FAITHFINOP1935747

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

4170 SECURITIES LLC

CRD#: 326718Chicago, IL 60654

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