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Ananda Prosad Baruah

Loop Capital Markets LLC

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About Ananda Prosad Baruah

Ananda Prosad Baruah is a registered representative with Loop Capital Markets LLC, located in New York, NY. Ananda has been in the securities industry since January 13, 2001. Ananda has a diverse background in the financial services industry, with prior roles at AEGIS CAPITAL CORP., BREAN CAPITAL, LLC, BANC OF AMERICA SECURITIES LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and FIRST UNION SECURITIES, INC.

Firm Information

Ananda Baruah is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Ananda Baruah’s Registration & Firm History

NY

07/18/2017 - Present

Loop Capital Markets LLC (NEW YORK NY)

NY

05/05/2017 - 07/19/2017

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

06/18/2009 - 02/06/2017

BREAN CAPITAL, LLC (NEW YORK NY)

NY

12/10/2003 - 04/22/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

11/24/2000 - 08/25/2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

05/01/2000 - 08/29/2000

CIBC WORLD MARKETS CORP. (NEW YORK NY)

MO

02/14/2000 - 05/11/2000

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 02/16/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/11/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/11/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ananda Prosad Baruah.
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