Sanjay Grewal

DBS VICKERS SECURITIES (USA)

New York, NY 10017

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CRD#: 1758528

Professional summary

Sanjay Grewal is a registered financial professional currently at DBS VICKERS SECURITIES (USA) INC. located in New York, New York.

Sanjay is registered as a RR (Registered Representative) and started their career in finance in 1988. Sanjay has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 1999 - Present

DBS VICKERS SECURITIES (USA) INC.

Office #1: 777 Third Ave Suite 1701, New York, NY 10017Office #2: 777 Third Ave Suite 1701, New York, NY 10017

CRD#: 35691

New York, NY

Past

July 1, 1997 - November 9, 1998

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 27, 1995 - July 2, 1997

ASIA EQUITY INC.

CRD#: 37740

NEW YORK, NY

Past

February 15, 1994 - February 22, 1995

SOCGEN-CROSBY SECURITIES INC.

CRD#: 30442

Past

March 29, 1988 - March 25, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/25/1999)

Exams

State Security Law Exam

Series 63

Date: 2/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DBS VICKERS SECURITIES (USA) INC.

DBS VICKERS SECURITIES (USA) INC. | VICKERS BALLAS (USA) INC.

CRD#: 35691 / SEC#: , 8-46837

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

777 Third Ave Suite 1701, New York, NY 10017

Mailing Address

777 Third Avenue Suite 1701, New York, NY 10017

Phone number

(212) 826-1888

Established

Delaware since 12/01/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED)	NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING
MARRONE, MICHAEL THOMAS	FINOP/PFO/POO	4859949
MCCABE, THOMAS JOSEPH	DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& MANAGING DIRECTOR OF DBS BANK - LOS ANGELES	2333611
TANG, YEW CHOONG	DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD)	7462745
YU, ELAINE YEELING	CEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA	2246528

Disclosures

Regulatory Event

Red Flags

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Sanjay Grewal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sanjay Grewal's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNP PARIBAS SECURITIES CORP.

ASIA EQUITY INC.

SOCGEN-CROSBY SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/1994

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/14/1994

Series 24

Date: 5/9/2000

FINRA

Current Firm

DBS VICKERS SECURITIES (USA) INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DBS VICKERS SECURITIES (USA) INC.

TRUST BUT VERIFY

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