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Jacquelyn S Ganguly

Barclays Capital Inc.

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About Jacquelyn S Ganguly

Jacquelyn S. Ganguly has been in the securities industry since June 16, 2002. Jacquelyn is currently registered with Barclays Capital Inc. in New York, NY. Jacquelyn has also been previously registered with BERENBERG CAPITAL MARKETS LLC, STIFEL, NICOLAUS & COMPANY, INCORPORATED, RYAN BECK & CO., BREAN MURRAY & CO., INC., TUCKER ANTHONY INCORPORATED, H.C. WAINWRIGHT & CO., INC., and ADVEST, INC.. Jacquelyn has passed the Series 4, SIE, Series 7 and Series 16 exams.

Firm Information

Jacquelyn Ganguly is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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Jacquelyn Ganguly’s Registration & Firm History

NY

09/22/2022 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

04/08/2021 - 06/10/2022

BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)

MO

04/23/2009 - 04/12/2021

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

MA

03/09/2007 - 08/01/2008

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BOSTON MA)

MA

10/12/2005 - 08/27/2007

RYAN BECK & CO. (BOSTON MA)

NY

06/17/2003 - 04/16/2004

BREAN MURRAY & CO., INC. (NEW YORK NY)

NY

02/01/2002 - 04/24/2003

BREAN MURRAY & CO., INC. (NEW YORK NY)

MA

10/10/2000 - 11/15/2001

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NY

07/30/1998 - 02/05/1999

H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)

CT

11/24/1997 - 07/15/1998

ADVEST, INC. (HARTFORD CT)

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Licenses & Designations

BC

Issued 12/18/2014

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2014

Series 7 - General Securities Representative Examination

BC

Issued 10/15/1997

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Jacquelyn S Ganguly.
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