Niyukt R. Bhasin
Professional summary
Niyukt Raghu Bhasin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Niyukt is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Niyukt had worked at 5 firms, which includes NSM SECURITIES INC., MAX INTERNATIONAL BROKER/DEALER CORP., AURA FINANCIAL SERVICES INC., CONTINENTAL BROKER-DEALER CORP., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2005 - January 22, 2014
NSM SECURITIES, INC.
April 15, 2005 - April 26, 2005
MAX INTERNATIONAL BROKER/DEALER CORP.
January 9, 2003 - March 18, 2005
AURA FINANCIAL SERVICES, INC.
January 19, 2000 - February 7, 2003
CONTINENTAL BROKER-DEALER CORP.
January 26, 1996 - August 7, 1997
GKN SECURITIES CORP.
March 16, 1993 - January 16, 1996
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NSM SECURITIES, INC.
CRD#: 134357 / SEC#: , 8-67150
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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