Mansoor H. Siddiqui
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.
Mansoor Habib Siddiqui was a registered financial professional .
Mansoor is a previously registered financial professional and started their career in finance in 1994. Mansoor had worked at 7 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - November 21, 2012
BENGAL CAPITAL, LLC
March 20, 2006 - May 7, 2007
SOUTHRIDGE INVESTMENT GROUP LLC
September 26, 2003 - November 1, 2004
MILLENCO LLC
March 12, 1998 - May 30, 2001
COWEN AND COMPANY
January 2, 1997 - October 28, 1997
ABN AMRO INCORPORATED
October 23, 1996 - January 2, 1997
THE CHICAGO CORPORATION
June 3, 1994 - October 8, 1996
CREDIT AGRICOLE SECURITIES (USA) 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
Series 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
BENGAL CAPITAL, LLC
CRD#: 141585 / SEC#: , 8-67398
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORE OPTIONS TRADING, LLC | MEMBER | |
| TOLIA, SANJAY | MEMBER OF BENGAL CAPITAL AND MEMBER MANAGER OF DOJO CAPITAL LLC | |
| TOLIA, VINAY | MEMBER OF BENGAL CAPITAL AND MEMBER/MANAGER OF DOJO CAPITAL, LLC | |
| DOJO CAPITAL, LLC | MANAGER | |
| KIRIT TOLIA REVOCABLE TRUST | MEMBER | |
| KLEIN, STEVEN | MANAGER OF CORE OPTIONS TRADING, LLC | |
| MILLER, DAVID | MANAGER OF CORE OPTIONS TRADING, LLC | |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 2 |
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.
