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Japinder Singh Chawla

Barclays Capital Inc.

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About Japinder Singh Chawla

Japinder Singh Chawla is a financial advisor with Barclays Capital Inc. Japinder has been in the industry since October 17, 2013. Japinder is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 3, 7, 86, 87, 55, and 63 licenses. Japinder is also registered with the state of California and 52 other states. Prior to Barclays Capital Inc. Japinder was employed by SG AMERICAS SECURITIES, LLC and MORGAN STANLEY & CO. INCORPORATED.

Firm Information

Japinder Chawla 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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Japinder Chawla’s Registration & Firm History

CA

01/11/2016 - Present

Barclays Capital Inc. (SAN FRANCISCO CA)

NY

03/12/2009 - 12/01/2009

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

08/14/2007 - 02/13/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/21/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/11/2016

Series 7 - General Securities Representative Examination

BC

Issued 10/14/2015

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/07/2015

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/03/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/28/2007

Series 3 - National Commodity Futures 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 Japinder Singh Chawla.
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