Jayanta M. Ghosh
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.
Jayanta Michael Ghosh, who also goes by Jay Ghosh, was a registered financial professional .
Jayanta is a previously registered financial professional and started their career in finance in 1992. Jayanta had worked at 7 firms and has passed the 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
June 12, 2013 - December 31, 2013
HIGH STREET SECURITIES, INC.
June 14, 2011 - August 23, 2012
CETERA ADVISORS LLC
December 1, 2006 - May 20, 2011
QUESTAR CAPITAL CORPORATION
November 1, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
May 1, 2002 - October 8, 2004
LEGACY FINANCIAL SERVICES, INC.
June 22, 1995 - May 3, 2002
SPELMAN & CO., INC.
December 4, 1992 - June 23, 1995
KEOGLER, MORGAN & COMPANY, 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
Current Firm
HIGH STREET SECURITIES, INC.
CRD#: 104201 / SEC#: , 8-52657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGH STREET ASSET MANAGEMENT, LLC | OWNER | |
| GRAFF, PAUL RICHARD | GENERAL SECURITIES PRINCIPAL - ASS'T TO DP | 1355392 |
| TERRY, JOHN LUDLOW III | CHIEF FINANCIAL OFFICER | 1972803 |
| TERRY, JOHN LUDLOW III | CHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 1972803 |
Disclosures
| Regulatory Event | 1 |
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.
