Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Jaswal is a financial professional with over 3 years of experience in the financial services industry. Allen is currently registered with Scotia Capital (usa) Inc. in San Francisco, CA. Previously, Allen was registered with SVB Securities LLC in New York, NY and Citigroup Global Markets Inc. in New York, NY. Allen holds the Series 7, Series 63, Series 79TO, and SIE licenses.
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.
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.
1
2
CA
04/20/2023 - Present
Scotia Capital (usa) Inc. (San Francisco CA)
NY
09/01/2021 - 02/23/2023
SVB SECURITIES LLC (NEW YORK NY)
NY
06/17/2019 - 08/31/2021
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/07/2017 - 10/11/2017
COVA CAPITAL PARTNERS LLC (SYOSSET NY)
BC
Issued 07/31/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/11/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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