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Asit Sen

Aldwych Securities LLC

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About Asit Sen

Asit Sen is a financial professional with over 20 years of experience in the industry. Asit has held positions at several prominent firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman, Sachs & Co., and BOFA Securities, Inc.. Asit is currently registered with Aldwych Securities LLC, a firm based in Stamford, CT. Asit is a Series 7, Series 24, Series 63, and SIE licensed professional.

Firm Information

Asit Sen is currently registered with Aldwych Securities LLC. Aldwych Securities LLC is a Limited Liability Company formed in 2012. The firm is registered with the Securities and Exchange Commission and is approved in Connecticut and New York.

Not reported

Assets Under Management

Not reported

Total Clients

17

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Asit Sen’s Registration & Firm History

CT

07/18/2024 - Present

Aldwych Securities LLC (STAMFORD CT)

NY

06/03/2021 - 02/27/2024

BOFA SECURITIES, INC. (NEW YORK NY)

NY

05/10/2019 - 03/15/2021

BOFA SECURITIES, INC. (NEW YORK NY)

NY

04/12/2017 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

11/09/2015 - 03/08/2017

CLSA AMERICAS, LLC (NEW YORK NY)

NY

05/17/2013 - 11/11/2015

COWEN AND COMPANY (NEW YORK NY)

NY

12/12/2011 - 06/03/2013

COWEN SECURITIES LLC (NEW YORK NY)

NY

01/26/2010 - 12/02/2011

MADISON WILLIAMS AND COMPANY (NEW YORK NY)

AZ

10/19/2009 - 11/05/2009

ECHOTRADE LLC (PHOENIX AZ)

NY

04/12/2004 - 09/09/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

06/27/2001 - 06/10/2002

JEFFERIES & COMPANY, INC. (NEW YORK NY)

CT

06/27/1997 - 07/11/2001

ABN AMRO INCORPORATED (STAMFORD CT)

NY

01/10/1997 - 06/19/1997

OPPENHEIMER & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/19/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/10/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/09/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Asit Sen.
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