Avinash Kapoor
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.
Avinash Kapoor, who also goes by Avinansh Kapoor, Nash Kapoor, was a registered financial professional .
Avinash is a previously registered financial professional and started their career in finance in 1982. Avinash had worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 6, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1996 - December 3, 2001
GROWTHSTOCKS.COM
January 3, 1995 - December 31, 1996
SIGNAL SECURITIES, INC.
January 10, 1994 - December 31, 1994
MOMENTUM INDEPENDENT NETWORK INC.
January 1, 1988 - January 10, 1994
MORGAN STANLEY DW INC.
June 26, 1987 - November 24, 1987
THE STUART-JAMES COMPANY, INCORPORATED
August 11, 1982 - November 16, 1982
WADDELL & REED
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
Series 55
Date: 9/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
GROWTHSTOCKS.COM
CRD#: 41507 / SEC#: , 8-49468
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
