SGI Securities LLC

Broker-DealerFINRA MemberEst. 2011
Total AUM
Advisory reps
5
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
155643
Registered since
June 7, 2011

Firm profile

FINTRX

Overview

SGI Securities LLC is organized as a limited liability company and is registered with the SEC since 2011. Public data classifies the firm as "unclassified" and lists its ownership as a domestic entity and individual. The FINTRX record indicates the firm is not a capital allocator, is not an active ESG investor, is not designated as a multi-state adviser, and is not identified as a pension consultant or related adviser. Details about SGI Securities LLC’s service model, target client segments, fee schedules, or specific advisory activities are not provided in the available dataset.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Donald Pollard

    Donald Pollard

    CEO and CCOCRD 2181631

  • Andrew Schupak

    Andrew Schupak

    CEOCRD 2404355

  • Ian Hartley

    CEOCRD 7842402

Contacts

2 of 2
  • Ernest Kappotis

    Ernest Kappotis

    Financial Operations PrincipalCRD 4871251

  • Alba Silston

    Registered RepresentativeCRD 5164380

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
7 Penn Plz
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth