Sanjay K. Avasthi
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 K Avasthi, who also goes by Jay Avasthi, Sanjay Krishna Avasthi, was a registered financial professional .
Sanjay is a previously registered financial professional and started their career in finance in 1990. Sanjay had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 3 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
March 13, 2020 - June 24, 2020
JP DERIVATIVES, LLC
June 26, 2008 - January 31, 2019
CITIGROUP GLOBAL MARKETS INC.
June 1, 2006 - June 9, 2008
J.P. MORGAN SECURITIES LLC
July 27, 2004 - April 17, 2006
ABN AMRO INCORPORATED
October 6, 1995 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1991 - October 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 1990 - March 6, 1991
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
JP DERIVATIVES, LLC
CRD#: 284131 / SEC#: , 8-69788
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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