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Amit Ashok Jogal

Third Seven Capital LLC

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About Amit Ashok Jogal

Amit Jogal is a financial professional with over 20 years of experience in the financial services industry. Amit holds Series 6, 7, 24, 53, 63 and SIE licenses. He is currently registered with Third Seven Capital LLC and is active in several states, including California, Florida, Idaho, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, and Washington. Amit has previously worked at BNP Paribas Securities Corp. and J. B. Hanauer & Co. and McLaughlin, Piven, Vogel Securities, Inc.

Firm Information

Amit Jogal is currently registered with Third Seven Capital LLC. Third Seven Capital LLC is a Limited Liability Company formed on July 6, 2011, with a status of Approved. The firm is registered in all 50 states and the District of Columbia, as well as Puerto Rico and the Virgin Islands. Third Seven Capital LLC has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

34

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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Amit Jogal’s Registration & Firm History

NY

07/19/2021 - Present

Third Seven Capital LLC (NEW YORK NY)

CA

10/08/2010 - 05/10/2019

BNP PARIBAS SECURITIES CORP. (SAN RAMON CA)

NJ

07/06/1995 - 07/19/2004

J. B. HANAUER & CO. (PARSIPPANY NJ)

NY

11/07/1994 - 03/09/1995

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/10/2021

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 05/01/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/27/2012

Series 24 - General Securities Principal Examination

BC

Issued 03/22/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/1995

Series 7 - General Securities Representative Examination

BC

Issued 11/04/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Amit Ashok Jogal.
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