Jyoti Aggarwala

PROFOR ADVISORS

Rye Brook, NY 10573

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CRD#: 1973983

Professional summary

Jyoti Aggarwala is a registered financial professional currently at PROFOR ADVISORS located in Rye Brook, New York.

Jyoti is registered as a RR (Registered Representative) and started their career in finance in 1989. Jyoti has worked at 10 firms and has passed the Series 63, Series 79TO, 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

Click below to view Jyoti Aggarwala'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

February 29, 2020 - Present

PROFOR ADVISORS

Office #1: 800 Westchester Ave Suite 641n, Rye Brook, NY 10573

CRD#: 136084

Rye Brook, NY

Past

April 24, 2018 - January 2, 2019

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

February 4, 2016 - April 25, 2018

INTELLIVEST SECURITIES, INC.

CRD#: 145022

RIVERDALE, GA

Past

March 17, 2009 - November 11, 2015

SCARSDALE EQUITIES LLC

CRD#: 134602

NEW YORK, NY

Past

August 3, 2006 - September 16, 2008

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

February 22, 2006 - August 2, 2006

CENTENIUM ADVISORS, LLC

CRD#: 135778

NEW YORK, NY

Past

October 21, 1999 - January 6, 2006

THOMAS CAPITAL GROUP, INC.

CRD#: 45180

GIG HARBOR, WA

Past

January 2, 1997 - April 2, 1998

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

July 22, 1994 - January 7, 1997

PEREGRINE BROKERAGE INC.

CRD#: 27437

Past

August 22, 1989 - January 25, 1994

LADENBURG THALMANN & CO. INC.

CRD#: 505

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
(2/29/2020)

Exams

State Security Law Exam

Series 63

Date: 9/18/1989

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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PROFOR ADVISORS

AURELIUS SECURITIES, LLC | PROFOR SECURITIES, LLC | PROFOR ADVISORS

CRD#: 136084 / SEC#: , 8-66974

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

800 Westchester Ave Suite 641n, Rye Brook, NY 10573

Mailing Address

800 Westchester Ave Suite 641n, Rye Brook, NY 10573

Phone number

(646) 202-2969

Established

New York since 06/03/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OMEARA, PATRICK JAMES JR	MANAGING DIRECTOR, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER	1544243
MAHALA, THOMAS GERARD	REGISTERED PRINCIPAL	1600103
OMEARA, PATRICK JAMES JR	AML COMPLIANCE PRINCIPAL	1544243
POLLOCK, MARTIN JAY	FINOP	1067521

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.

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Jyoti Aggarwala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jyoti Aggarwala's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROWTH CAPITAL SERVICES, INC.

INTELLIVEST SECURITIES, INC.

SCARSDALE EQUITIES LLC

INTE SECURITIES LLC

CENTENIUM ADVISORS, LLC

THOMAS CAPITAL GROUP, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

PEREGRINE BROKERAGE INC.

LADENBURG THALMANN & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1989

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 24

Date: 2/9/2001

FINRA

Current Firm

PROFOR ADVISORS

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PROFOR ADVISORS

TRUST BUT VERIFY

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