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Archit Dhar

EC SECURITIES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 7424940
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Professional summary

Archit Dhar is a registered financial professional currently at EC SECURITIES LLC located in New York, New York.

Archit is registered as a RR (Registered Representative) and started their career in finance in 2021. Archit has worked at 2 firms and has passed the Series 63, Series 3, 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 Archit Dhar's CRS (Customer Relationship Summary).
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

February 21, 2025 - Present

EC SECURITIES LLC

Office #1: 40 Exchange Place Suite 402, New York, NY 10005
BD
CRD#: 287845
New York, NY
Past

September 17, 2021 - April 12, 2024

AQR INVESTMENTS, LLC

BD
CRD#: 289244
Greenwich, CT

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
(2/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 5/25/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EC SECURITIES LLC
ANGELLIST SECURITIES | VOYAGER GLOBAL ADVISORS LLC | LEVEL 9 TECHNOLOGY ADVISORS, LLC | EC SECURITIES, LLC | EC SECURITIES LLC

CRD#: 287845 / SEC#: , 8-69913

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

Main Address
40 Exchange Place Suite 402, New York, NY 10005
Mailing Address
40 Exchange Place Suite 402, New York, NY 10005
Phone number
(415) 209-5123
Established
California since 01/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AL ADVISORS MANAGEMENT, INC.PARENT COMPANY
AVNET, MITCHELL STEVENCHIEF COMPLIANCE OFFICER2267190
MATISOFF, KIMBERLY DORMANCHIEF EXECUTIVE OFFICER5982741
SILVESTRO, MICHELE ANNPRINCIPAL FINANCIAL OFFICER/FINOP6960939

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

EC SECURITIES LLC

CRD#: 287845New York, NY 10005

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