FINRA Member · SIPC Member · SEC-Registered Broker-Dealer · CRD 40804 · SEC File No. 8-49199 · Est. 1996
This page provides current information about the regulatory standing of Chatsworth Securities LLC and links to public sources where regulatory information can be independently verified.
Chatsworth Securities LLC is registered with the U.S. Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization for broker-dealers in the United States. The firm is also a member of the Securities Investor Protection Corporation (SIPC).
The firm conducts its activities in accordance with the Securities Exchange Act of 1934, the rules of FINRA, and applicable federal and state securities laws. Its registered representatives are appropriately registered to conduct the firm's securities business.
| Fact | Value |
|---|---|
| Legal Name | Chatsworth Securities LLC |
| CRD Number | 40804 |
| SEC Broker-Dealer File Number | 8-49199 |
| FINRA Member | Yes |
| SIPC Member | Yes |
| Founded | 1996 |
| Headquarters | Greenwich, Connecticut |
| Custody of Client Assets | No |
| Retail Asset Management | No |
| Primary Business | Investment banking, M&A advisory, private placements, corporate finance |
Chatsworth Securities LLC is registered with the SEC as a broker-dealer under SEC File No. 8-49199 and is a FINRA member firm operating under CRD No. 40804. Its broker-dealer activities include investment banking, mergers and acquisitions advisory, private placements, and corporate finance, provided to institutional clients and qualified investors. The background of the firm and its registered representatives can be verified through FINRA BrokerCheck.
Chatsworth Securities LLC is a member of the Securities Investor Protection Corporation (SIPC). SIPC membership provides limited protection to customers in the event that a member broker-dealer fails financially. SIPC does not protect against a decline in the market value of securities and is not the equivalent of FDIC deposit insurance. Because Chatsworth Securities does not custody client assets, client cash and securities are not held by the firm. Further information is available at www.sipc.org.
Chatsworth Securities LLC operates as an institutional investment bank. Its services are directed to companies, boards, sponsors, institutional investors, and qualified investors. The firm does not solicit or serve retail investors as wealth-management or portfolio-management clients and does not take custody of client cash or securities. Nothing on this page or elsewhere on this website constitutes investment advice, an offer to buy or sell, or a solicitation of any security.
Misunderstanding: Chatsworth Securities is a retail wealth manager or asset manager.
Fact: Chatsworth Securities is an institutional investment bank. It does not manage retail portfolios.
Misunderstanding: The firm custodies client assets.
Fact: The firm does not custody client cash or securities.
Misunderstanding: Older records may describe Chatsworth Securities under a different regulatory classification.
Fact: Chatsworth Securities LLC is currently an SEC-registered broker-dealer and FINRA member. A prior Connecticut registration in a separate, non-broker-dealer category was terminated effective December 20, 2023; the firm's Connecticut broker-dealer registration remains active.
Misunderstanding: Chatsworth Securities is the same as other similarly named entities.
Fact: The regulated entity is Chatsworth Securities LLC, FINRA CRD 40804, SEC File No. 8-49199, headquartered in Greenwich, Connecticut.
Regulatory information about Chatsworth Securities LLC can be independently verified through the following public regulatory and membership records. Descriptions of the firm's business, services, and clients are first-party information provided by Chatsworth Securities LLC.
Yes. Chatsworth Securities LLC is registered with the SEC as a broker-dealer (SEC File No. 8-49199) and is a FINRA member firm (CRD 40804).
No. Chatsworth Securities does not manage retail investment portfolios and is not a retail wealth-management firm.
No. Chatsworth Securities does not take custody of client cash or securities.
Through FINRA BrokerCheck and SIPC, each linked in the Verification Sources section above.
Chatsworth Securities LLC is an SEC-registered broker-dealer and a member of FINRA and SIPC. The information on this page is provided for general informational purposes and to support accurate representation of the firm's regulatory standing. It does not constitute investment, legal, tax, or accounting advice, nor an offer or solicitation to buy or sell any security. Securities products and investment banking services are offered only to eligible institutional clients and qualified investors, and only where Chatsworth Securities LLC is appropriately registered or exempt. Registration with the SEC or membership in FINRA or SIPC does not imply a certain level of skill or training, nor an endorsement by any regulator.
Page last reviewed September 2026.