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CRD#: 170937
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

SI SECURITIES, LLC is located at C/o Circle Internet Group One World Trade Center, Floor 87, New York, NY 10007 and was first established at New York, New York in 03/26/2013. After operating for 13 years, SI SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SI SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. SI SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SI SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SI SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SI SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for SI SECURITIES, LLC Comes From

Understanding the Statistics for SI SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
C/o Circle Internet Group One World Trade Center, Floor 87, New York, NY 10007
Mailing Address
C/o Circle Internet Group One World Trade Center, Floor 87, New York, NY 10007
Firm Size
Small
Phone Number
(332) 334-0660
Established
New York since 03/26/2013
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
PLUTO HOLDINGS, LLCSOLE MEMBER
FISHMAN, DANIEL CHARLESCHIEF EXECUTIVE OFFICER5138796
MEYERS, CHRISTOPHER M JRFINOP6122487
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

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Advisor's working at SI SECURITIES, LLC

PR

Paige Woodsum Rand

Paige Jinja Woodsum
RR
CRD#: 4520907
Location:
Los Angeles, CA 90025
Company:
PALM TREE SECURITIES LLC
Disclosures:
Experience:
18 years
CM

Christopher M Meyers Jr

Christopher M Meyers Jr
RR
CRD#: 6122487
Location:
New York, NY 10007
Company:
SI SECURITIES, LLC
Disclosures:
Experience:
8 years
AS

Alexander Benjamin Sixbey

Alexander Benjamin Sixbey
RR
CRD#: 5308440
Location:
New York, NY 10001
Company:
ICM CAPITAL MARKETS, LLC
Disclosures:
Experience:
19 years
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