Swatick Majumdar
Professional summary
Swatick Majumdar, who also goes by Aku Majumdar, is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.
Swatick is registered as a RR (Registered Representative) and started their career in finance in 1990. Swatick has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Swatick Majumdar's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2007 - Present
CHATSWORTH SECURITIES LLC
Office #1: 95 East Putnam Avenue, Greenwich, CT 06830March 13, 2001 - January 4, 2007
ADAMSON BROTHERS INC.
July 27, 1999 - April 11, 2001
JANNEY MONTGOMERY SCOTT LLC
March 1, 1991 - July 29, 1999
JOSEPHTHAL & CO., INC.
June 22, 1990 - December 14, 1990
SOUTH RICHMOND SECURITIES, 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
(1/8/2007)
(5/31/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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