DV Securities, LLC

Broker-DealerFINRA MemberEst. 2020
Total AUM
—
Advisory reps
30
Avg account
$0

Firm details

Headquarters
Chicago, Illinois
CRD number
305134
Registered since
February 7, 2020

Firm profile

FINTRX

Overview

DV Securities, LLC is organized as a limited liability company and is SEC-registered since 2020. The firm is listed as owned by a domestic entity and/or individual and is classified in the data as "unclassified." Reported attributes indicate it is not a capital allocator and it does not identify as an active ESG investor. The record does not include descriptions of the firm's advisory activities, client segments, fee schedule, or core business lines. Regulatory and operational flags in the profile show DV Securities, LLC is not a multistate adviser, is not newly formed (per the data), and is not identified as a pension consultant or a related adviser. Beyond these registry-level items, the firm’s investment mandate, target clients, and service model are not documented in the available dataset.

Assets & Accounts

Investments & Alternatives

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

2 of 2
  • Richard Horgan

    Chief Financial OfficerCRD 6697860

  • Shifra Katz

    Chief Compliance OfficerCRD 7166902

Contacts

3 of 28
  • Robert Moran

    Robert Moran

    Senior Managing DirectorCRD 1264598

  • Michael Flooks

    DirectorCRD 1832506

  • Brian Sogluizzo

    Brian Sogluizzo

    Fixed Income OperationsCRD 2070438

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
425 S Financial Pl
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth