Anup C. Goswami
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.
Anup Chandra Goswami, who also goes by Anup Chandra Goswami Mr., was a registered financial professional .
Anup is a previously registered financial professional and started their career in finance in 1997. Anup had worked at 13 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2016 - March 10, 2020
CANTOR FITZGERALD & CO.
August 25, 2016 - November 15, 2016
INTL FCSTONE CREDIT TRADING LLC
March 25, 2015 - August 15, 2016
ODEON CAPITAL GROUP LLC
July 28, 2014 - March 20, 2015
BONWICK CAPITAL PARTNERS, LLC
June 21, 2011 - August 9, 2012
JANNEY MONTGOMERY SCOTT LLC
October 4, 2010 - June 7, 2011
VINING-SPARKS IBG, LLC
April 26, 2010 - September 21, 2010
BUCKMAN, BUCKMAN & REID, INC.
September 16, 2009 - May 5, 2010
PIERPONT CAPITAL ADVISORS LLC
October 3, 2006 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2005 - October 19, 2005
RBC CMA LTD
October 6, 2004 - March 3, 2006
RBC CAPITAL MARKETS CORPORATION
June 29, 1998 - July 2, 2002
UBS SECURITIES LLC
November 7, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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