Mahesh P. Jhala
Professional summary
Mahesh Pravin Jhala was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mahesh is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Mahesh had worked at 13 firms, which includes INVESTORS CAPITAL CORP., QUESTAR CAPITAL CORPORATION, EASTERN POINT ADVISORS INC., CAPITAL BROKERAGE CORPORATION, FORTH FINANCIAL SECURITIES CORPORATION, LPL FINANCIAL LLC, LINSCO FINANCIAL GROUP INC., RADFORD CAPITAL CORPORATION, E.R. KELLER & CO. INC., FIRST CLEVELAND INVESTMENTS INC., MML INVESTORS SERVICES LLC, MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY, WS GRIFFITH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - February 25, 2010
INVESTORS CAPITAL CORP.
January 2, 2003 - January 29, 2003
QUESTAR CAPITAL CORPORATION
April 29, 1999 - December 31, 2004
EASTERN POINT ADVISORS INC.
December 16, 1998 - February 25, 2010
INVESTORS CAPITAL CORP.
December 1, 1997 - December 15, 1998
CAPITAL BROKERAGE CORPORATION
April 27, 1990 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
December 16, 1989 - April 26, 1990
LPL FINANCIAL LLC
January 15, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
April 17, 1985 - January 15, 1987
RADFORD CAPITAL CORPORATION
September 4, 1984 - December 22, 1986
E.R. KELLER & CO., INC.
January 9, 1984 - April 25, 1985
FIRST CLEVELAND INVESTMENTS, INC.
November 11, 1983 - March 5, 1984
MML INVESTORS SERVICES, LLC
September 1, 1983 - March 6, 1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
June 22, 1983 - October 18, 1983
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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