Sanjay Verma
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.
Sanjay Verma was a registered financial professional .
Sanjay is a previously registered financial professional and started their career in finance in 1993. Sanjay had worked at 7 firms and has passed the Series 63, Series 7 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
April 27, 2009 - June 7, 2010
INVESCO CAPITAL MARKETS, INC.
April 21, 2008 - May 10, 2012
MORGAN STANLEY DISTRIBUTION, INC.
September 2, 2003 - May 2, 2008
MORGAN STANLEY & CO. LLC
September 2, 2003 - July 31, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
April 26, 1999 - August 29, 2003
CREDIT SUISSE SECURITIES (USA) LLC
June 9, 1998 - January 4, 1999
GOLDMAN SACHS & CO. LLC
July 3, 1995 - July 7, 1998
LEHMAN BROTHERS INC.
March 18, 1993 - March 16, 1994
GOLDMAN SACHS & CO. LLC
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
Current Firm
INVESCO CAPITAL MARKETS, INC.
CRD#: 6939 / SEC#: , 8-19412
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
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.
