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Edward Alan Neugeboren

Aldwych Securities LLC

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About Edward Alan Neugeboren

Edward Alan Neugeboren is a financial professional with over 17 years of experience in the financial industry. Edward is currently registered with Aldwych Securities LLC. Prior to joining Aldwych Securities LLC, Edward was associated with Frontier Solutions, LLC in Richmond, VA. He has also worked with several other firms including Financial West Group, Ledgemont Securities LLC, Ledgemont Capital Markets LLC, Indigo Securities LLC, Warburg Dillon Read LLC and SBC Warburg Dillon Read Inc.. Edward holds several licenses and certifications including Series 7, Series 24, and Series 63. He also has successfully completed the Securities Industry Essentials (SIE) exam.

Firm Information

Edward Neugeboren 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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Edward Neugeboren’s Registration & Firm History

CT

10/16/2023 - Present

Aldwych Securities LLC (STAMFORD CT)

VA

11/30/2020 - 06/05/2023

FRONTIER SOLUTIONS, LLC (RICHMOND VA)

NV

04/30/2013 - 08/29/2018

FINANCIAL WEST GROUP (RENO NV)

NY

02/04/2008 - 03/18/2013

LEDGEMONT SECURITIES LLC (NEW YORK NY)

NY

11/25/2009 - 08/17/2010

LEDGEMONT CAPITAL MARKETS LLC (NEW YORK NY)

NY

10/30/2009 - 11/04/2009

LEDGEMONT CAPITAL MARKETS LLC (NEW YORK NY)

VT

12/08/2004 - 01/25/2008

INDIGO SECURITIES LLC (WEYBRIDGE VT)

NY

06/29/1998 - 07/29/1998

WARBURG DILLON READ LLC (NEW YORK NY)

CT

01/29/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 04/21/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/05/2008

Series 24 - General Securities Principal Examination

BC

Issued 08/29/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Edward Alan Neugeboren.
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