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ES

Ethan J. Spiech

HOWDEN TIGER CAPITAL MARKETS & ADVISORY
New York, NY 10019
Some features on this profile are disabled
CRD#: 7384468
ES

Professional summary

Ethan James Spiech is a registered financial professional currently at HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC located in New York, New York.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2021. Ethan has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE 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 Ethan James Spiech'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

April 10, 2023 - Present

HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

Office #1: 1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
BD
CRD#: 172729
New York, NY
Past

August 30, 2021 - March 31, 2023

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL

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
New York
(4/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/5/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/26/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HT
HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC
HOWDEN CAPITAL MARKETS & ADVISORY | TIGERRISK CAPITAL STRATEGIES LLC | TIGERRISK CAPITAL MARKETS & ADVISORY | HOWDEN TIGER INVESTMENT BANKING | HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

CRD#: 172729 / SEC#: , 8-69523

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

Main Address
1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
Mailing Address
1350 Avenue Of The Americas 33rd Floor, New York, NY 10019
Phone number
(646) 685-4930
Established
Delaware since 07/03/2008
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TIGERRISK PARTNERS LLCSOLE OWNER
COSIO, ROMMEL GOMEZCHIEF COMPLIANCE OFFICER2017788
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
MADEA, JARAD MICHAELCHIEF EXECUTIVE OFFICER4564333
RUTITSKIY, DMITRIYFINOP6117665

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

HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC

CRD#: 172729New York, NY 10019

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