Sanjay I. Hazarika
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 Iswar Hazarika was a registered financial professional .
Sanjay is a previously registered financial professional and started their career in finance in 1992. Sanjay had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 1992 - June 9, 1993
JPMSI
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
JPMSI
CRD#: 15733 / SEC#: , 8-32646
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES HOLDINGS INC., A WHOLLY OWNED SUBSIDIARY OF J.P. MORGAN CHASE & CO. INC., A PUBLICLY HELD COMPANY. | 100% DIRECT OWNER OF J.P. MORGAN SECURITIES INC. | |
| COLLINS, JAMES MICHAEL | VP/CFO/CONTROLLER | 2725065 |
| DEMCHAK, WILLIAM STANTON | VICE CHAIRMAN AND MANAGING DIRECTOR/DIRECTOR | 1876620 |
| DEPAOLO, MICHAEL PHILIP | ROP | 2507694 |
| FLUG, ROBERT ALAN | DIRECTOR/MANAGING DIRECTOR | 1497205 |
| GAHTAN, JOSEPH DAVID | ROP | 216457 |
| GROVER, BRIAN LEE | ROP | 1550127 |
| KETCHUM, THOMAS BRAY | DIRECTOR/MANAGING DIRECTOR | 2631776 |
| KRASS, JAMES FRANKLIN | MANAGING DIRECTOR/DIRECTOR | 3099685 |
| SCHNAPER, CARA L. | DIRECTOR/MANAGING DIRECTOR | |
| SOLEBELLOFENTON, DARLEEN ANN | CROP | 2292861 |
| TAYLOR, BRENT HENRICKSEN | VP/AGC/HEAD OF US REGULATION AND COMPLIANCE | 3042416 |
| WATERS, LISA ESTELLE | SROP - RETAIL (LISTED OPTIONS) | 2279171 |
| WERNER, MARK BLACK | CHAIRMAN AND PRESIDENT/DIRECTOR | 730268 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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