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Surat Maheshwari

GT Securities, Inc.

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About Surat Maheshwari

Surat Maheshwari is a securities professional with over 18 years of experience in the financial services industry. Surat currently holds a Series 7, Series 24, Series 63 and Series 79 license and is registered with GT Securities, Inc. in California and New York. Previously, Surat was registered with Oppenhimer & Co. Inc., Pine Securities USA LLC, Itau BBA USA Securities, Inc., Nomura Securities International, Inc., Dresdner Kleinwort Securities LLC, ING Financial Markets LLC, Salomon Smith Barney Inc. and ING Barings LLC.

Firm Information

Surat Maheshwari is currently registered with GT Securities, Inc.. GT Securities, Inc. is a Corporation formed on December 6, 2001, registered with the SEC and in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

144

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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Surat Maheshwari’s Registration & Firm History

CA

06/16/2020 - Present

GT Securities, Inc. (LOS ANGELES CA)

NY

11/06/2013 - 12/16/2015

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

12/04/2012 - 03/11/2013

PINE SECURITIES USA LLC (NEW YORK NY)

NY

03/11/2011 - 02/16/2012

ITAU BBA USA SECURITIES, INC. (NEW YORK NY)

NY

07/14/2008 - 10/19/2010

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

07/13/2004 - 12/11/2007

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

NY

04/30/2001 - 04/23/2003

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

10/08/1998 - 11/20/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

10/04/1999 - 04/30/2001

ING BARINGS LLC (NEW YORK NY)

NY

11/21/1994 - 10/08/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/02/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/06/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/21/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/19/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Surat Maheshwari.
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