Himanshu M. Joshi
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.
Himanshu Monty Joshi, who also goes by Monty Joshi, was a registered financial professional .
Himanshu is a previously registered financial professional and started their career in finance in 1992. Himanshu had worked at 4 firms and has passed the Series 65, Series 63 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
January 27, 2021 - February 10, 2022
OPTIMAL ASSET MANAGEMENT, INC.
September 15, 2020 - March 22, 2023
COMPOUND ADVISERS, INC.
September 12, 2018 - August 6, 2020
OPTIMAL ASSET MANAGEMENT, INC.
June 6, 2017 - December 31, 2017
OPTIMAL ASSET MANAGEMENT, INC.
January 22, 2007 - November 14, 2008
ALAN BILLER AND ASSOCIATES
November 2, 1992 - January 11, 1993
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPTIMAL ASSET MANAGEMENT, INC.
CRD#: 165661 / SEC#: 801-77673
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 2/19/2013 |
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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