Samir Kumar Ghosh
Professional Summary
Samir Kumar Ghosh was a registered financial advisor. Samir was a previously registered financial professional and started their career in finance 1982 - 2004. Samir had worked at 11 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
G - W BROKERAGE GROUP, INC.
Contact Information
Established
New Jersey since 05/31/1988Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| G-W FINANCIAL GROUP, INC. | SHAREHOLDER | — |
| WOOTERS, EDWARD JOSEPH | PRESIDENT/CCO | 1405652 |
Disclosures
Regulatory Event
3Arbitration
1Bond
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed May 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1982About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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