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FIRM PROFILE
Overview
DUCERA SECURITIES LLC is located at 11 Times Square, Floor 36, New York, NY 10036 and was first established at New York, Delaware in 05/18/2015. After operating for 10 years, DUCERA 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 DUCERA SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. DUCERA 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 DUCERA SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 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 DUCERA 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 DUCERA 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.
Where the Statistical Data for DUCERA SECURITIES LLC Comes From
Understanding the Statistics for DUCERA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
11 Times Square, Floor 36, New York, NY 10036
11 Times Square, Floor 36, New York, NY 10036
Small
(212) 671-9771
Delaware since 05/18/2015
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at DUCERA SECURITIES LLC
Thomas John Hopkins
John J Vaske
Michael Allen Kramer
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