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SA

Siddhartha Arora

ERNST & YOUNG CAPITAL ADVISORS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 7028312
SA

Professional summary

Siddhartha Arora, who also goes by Sid Arora, is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Cleveland, Ohio.

Siddhartha is registered as a RR (Registered Representative) and started their career in finance in 2020. Siddhartha has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79TO exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sid Arora

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 Siddhartha Arora'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 3, 2023 - Present

ERNST & YOUNG CAPITAL ADVISORS, LLC

Office #1: 1001 Lakeside Avenue Suite 1800, Cleveland, OH 44114
BD
CRD#: 152514
Cleveland, OH
Past

January 27, 2020 - July 26, 2023

MTS SECURITIES, LLC

BD
CRD#: 104059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/3/2023)
RR
Arkansas
(8/3/2023)
RR
California
(8/3/2023)
RR
Colorado
(8/3/2023)
RR
Connecticut
(8/3/2023)
RR
Delaware
(8/3/2023)
RR
District of Columbia
(8/3/2023)
RR
Florida
(8/3/2023)
RR
Georgia
(8/3/2023)
RR
Illinois
(8/3/2023)
RR
Indiana
(8/3/2023)
RR
Kansas
(8/3/2023)
RR
Louisiana
(8/3/2023)
RR
Maryland
(8/3/2023)
RR
Massachusetts
(8/3/2023)
RR
Michigan
(8/3/2023)
RR
Minnesota
(8/3/2023)
RR
Missouri
(8/3/2023)
RR
Nevada
(8/3/2023)
RR
New Hampshire
(8/3/2023)
RR
New Jersey
(8/3/2023)
RR
New York
(8/3/2023)
RR
North Carolina
(8/3/2023)
RR
Ohio
(8/4/2023)
RR
Oregon
(8/3/2023)
RR
Pennsylvania
(8/3/2023)
RR
Rhode Island
(8/3/2023)
RR
South Carolina
(8/3/2023)
RR
Tennessee
(8/3/2023)
RR
Texas
(8/3/2023)
RR
Utah
(8/3/2023)
RR
Virginia
(8/3/2023)
RR
Washington
(8/3/2023)
RR
Wisconsin
(8/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/3/2019
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

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
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
ULRICH, TODD WILLIAMCHIEF EXECUTIVE OFFICER5405066

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#: 152514Cleveland, OH 44114

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