Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashok? Claim Your ProfileAshok Kumar is a financial advisor with over 25 years of experience in the financial services industry. Currently, Ashok is registered with ThinkEquity LLC and is located in New York, NY. Ashok has previously worked for a number of other financial institutions, including Joseph Gunnar & Co. LLC, AEGIS Capital Corp., Imperial Capital, LLC, MAXIM Group LLC, Rodman & Renshaw, LLC, Northeast Securities, Inc., Collins Stewart LLC, CRT Capital Group LLC, Raymond James & Associates, Inc., Piper Jaffray & Co., Loewenbaum & Company Incorporated, Prudential Securities Incorporated, and Montano Securities Corporation. Ashok holds the following licenses: Series 63, Series 7, Series 16, Series 24, Series 65, Series 87 and SIE. Ashok is registered to provide investment advice in California and New York.
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.
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2
NY
05/07/2018 - Present
Thinkequity LLC (NEW YORK NY)
NY
06/06/2016 - 04/19/2018
JOSEPH GUNNAR & CO. LLC (UNIONDALE NY)
NY
04/15/2015 - 06/24/2016
AEGIS CAPITAL CORP. (NEW YORK NY)
CA
04/14/2014 - 04/07/2015
IMPERIAL CAPITAL, LLC (SAN FRANCISCO CA)
NY
02/04/2014 - 04/15/2014
AEGIS CAPITAL CORP. (NEW YORK NY)
CA
01/30/2012 - 01/13/2014
MAXIM GROUP LLC (SAN FRANCISCO CA)
NY
03/22/2010 - 01/23/2012
RODMAN & RENSHAW, LLC (NEW YORK NY)
NY
10/02/2009 - 03/22/2010
NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)
CA
09/02/2008 - 09/02/2009
COLLINS STEWART LLC. (SAN FRANCISCO CA)
CA
05/01/2007 - 07/22/2008
CRT CAPITAL GROUP LLC (SAN FRANCISCO CA)
CA
04/08/2004 - 05/03/2007
RAYMOND JAMES & ASSOCIATES, INC. (PALO ALTO CA)
MN
03/13/1998 - 04/23/2004
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
TX
07/17/1996 - 02/20/1998
LOEWENBAUM & COMPANY INCORPORATED (AUSTIN TX)
NY
07/10/1995 - 05/17/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
10/12/1993 - 02/09/1995
MONTANO SECURITIES CORPORATION (ORANGE CA)
IA
Issued 04/23/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/06/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2015
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 11/09/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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