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SG

Sanjay Grewal

DBS VICKERS SECURITIES (USA)
New York, NY 10017
Some features on this profile are disabled
CRD#: 1758528
SG

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"?
No

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

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

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
BD
CRD#: 35691
New York, NY
Past

July 1, 1997 - November 9, 1998

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

July 27, 1995 - July 2, 1997

ASIA EQUITY INC.

BD
CRD#: 37740
NEW YORK, NY
Past

February 15, 1994 - February 22, 1995

SOCGEN-CROSBY SECURITIES INC.

BD
CRD#: 30442
Past

March 29, 1988 - March 25, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(6/25/1999)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/9/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
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 THOMASFINOP/PFO/POO4859949
TANG, YEW CHOONGDIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD)7462745
YU, ELAINE YEELINGCEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA2246528

Disclosures

Regulatory Event1

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.

Company Information

DBS VICKERS SECURITIES (USA) INC.

CRD#: 35691New York, NY 10017

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