Samir K. Ghosh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Samir Kumar Ghosh was a registered financial professional .
Samir is a previously registered financial professional and started their career in finance in 1982. Samir had worked at 11 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1995 - December 31, 2004
G - W BROKERAGE GROUP, INC.
June 26, 1991 - April 10, 1996
U.S. SECURITIES CORPORATION OF WASHINGTON, DC
May 13, 1991 - June 26, 1991
FIRST AFFILIATED SECURITIES
August 10, 1990 - April 2, 1991
ELAN SECURITIES, INC.
March 2, 1989 - July 24, 1990
CAPITOL SECURITIES MANAGEMENT, INC.
January 3, 1989 - March 8, 1989
COMPREHENSIVE FINANCIAL SERVICES, INC.
April 30, 1985 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
September 28, 1984 - May 10, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
August 16, 1983 - October 30, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
August 16, 1983 - October 30, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
March 30, 1982 - November 3, 1983
DERAND/PENNINGTON/BASS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
G - W BROKERAGE GROUP, INC.
CRD#: 22691 / SEC#: , 8-39922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| G-W FINANCIAL GROUP, INC. | SHAREHOLDER | |
| WOOTERS, EDWARD JOSEPH | PRESIDENT/CCO | 1405652 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
