Adriana Pyc

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CRD#: 7370809

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.

Adriana Pyc, CPWA® was a registered financial professional .

Adriana is a previously registered financial professional and started their career in finance in 2021. Adriana had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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)

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-08-25

Expire date: 2024-07-31

Experience

Past

October 19, 2022 - October 13, 2023

SHUFRO, ROSE & CO., LLC

RIA

CRD#: 3403

NEW YORK, NY

Past

April 28, 2021 - September 8, 2021

CITIZENS PRIVATE WEALTH

RIA

CRD#: 106743

TARRYTOWN, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

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Contact information

Main Address

600 Lexington Avenue 15th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 754-5100

Established

New York since 04/01/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHUFRO ROSE & CO - FORM ADV PART 2A (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
LEIT, STEPHEN DAVID	SENIOR MANAGING DIRECTOR	818707
SHUFRO, EDWARD GEORGE	SENIOR MANAGING DIRECTOR, CEO	422885
CONTANT, JOHN MARINUS	SENIOR MANAGING DIRECTOR	2810876
GLASS, STEVEN JEFFREY	SENIOR MANAGING DIRECTOR, CFO, FINOP	1756153
WACHT, HARVEY	SENIOR MANAGING DIRECTOR	456036
EDWARDS, MYLES JOSHUA IV	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL	2040332
KAMINSKY, TONIA	SENIOR MANAGING DIRECTOR	4134855
SHUFRO, GREGORY DAVID	SENIOR MANAGING DIRECTOR	4718283

Regulatory assets under management

Total Number of Accounts	1,338
AUM (Assets Under Management)	$ 2,165,482,981

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/17/2024	Cover Page	Report
06/14/2023	Cover Page	Report

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.

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Adriana Pyc

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SHUFRO, ROSE & CO., LLC

CITIZENS PRIVATE WEALTH

Primary Firm SEC Registration

SHUFRO, ROSE & CO., LLC

State Registrations and Notice Filings

Exams

Current Firm

SHUFRO, ROSE & CO., LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SHUFRO, ROSE & CO., LLC

TRUST BUT VERIFY

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