Teekachand R. Tiwari
Professional summary
Teekachand Richard Tiwari was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Teekachand is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Teekachand had worked at 13 firms, which includes MCGINN SMITH & CO. INC., J.P. TURNER & COMPANY L.L.C., LCP CAPITAL CORP., FIRST SECURITY INVESTMENTS INC., LLOYD WADE SECURITIES INC., NORTHEAST SECURITIES LLC, EURO-ATLANTIC SECURITIES INC., ALLIED CAPITAL INC., ADVANCED EQUITY GROUP INC., GKN SECURITIES CORP., LEHMAN BROTHERS INC., GRUNTAL & CO. L.L.C., FINANCIAL SQUARE PARTNERS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2002 - May 28, 2003
MCGINN, SMITH & CO., INC.
May 4, 2001 - June 25, 2002
J.P. TURNER & COMPANY, L.L.C.
January 12, 1998 - June 16, 1999
LCP CAPITAL CORP.
October 21, 1997 - January 7, 1998
FIRST SECURITY INVESTMENTS, INC.
October 30, 1996 - February 7, 1997
LLOYD WADE SECURITIES INC.
February 16, 1996 - September 23, 1996
NORTHEAST SECURITIES, LLC
August 28, 1995 - January 26, 1996
EURO-ATLANTIC SECURITIES INC.
June 1, 1993 - October 10, 1994
LCP CAPITAL CORP.
March 22, 1993 - August 9, 1993
ALLIED CAPITAL, INC.
February 19, 1993 - March 24, 1993
ADVANCED EQUITY GROUP, INC.
October 2, 1992 - February 8, 1993
GKN SECURITIES CORP.
April 8, 1992 - October 20, 1992
LEHMAN BROTHERS INC.
September 4, 1990 - April 11, 1992
GRUNTAL & CO., L.L.C.
January 19, 1990 - September 21, 1990
FINANCIAL SQUARE PARTNERS
October 25, 1989 - January 24, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MCGINN, SMITH & CO., INC.
CRD#: 8453 / SEC#: , 8-25374
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Arbitration | 5 |
| Bond | 1 |
Red Flags
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