Ashok Kumar
Professional summary
Ashok Kumar is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
Ashok is registered as a RR (Registered Representative) and started their career in finance in 1993. Ashok has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ashok Kumar's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2018 - Present
THINKEQUITY LLC
Office #1: 17 State Street 41st Floor, New York, NY, 10004June 6, 2016 - April 19, 2018
JOSEPH GUNNAR & CO. LLC
April 15, 2015 - June 24, 2016
AEGIS CAPITAL CORP.
April 15, 2015 - June 24, 2016
AEGIS CAPITAL CORP.
April 14, 2014 - April 7, 2015
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
April 14, 2014 - April 7, 2015
IMPERIAL CAPITAL, LLC
February 4, 2014 - April 15, 2014
AEGIS CAPITAL CORP.
January 30, 2012 - January 13, 2014
MAXIM GROUP LLC
March 22, 2010 - January 23, 2012
RODMAN & RENSHAW, LLC
October 2, 2009 - March 22, 2010
NORTHEAST SECURITIES, LLC
September 2, 2008 - September 2, 2009
CANACCORD GENUITY SECURITIES LLC
May 1, 2007 - July 22, 2008
CRT CAPITAL GROUP LLC
April 8, 2004 - May 3, 2007
RAYMOND JAMES & ASSOCIATES, INC.
March 13, 1998 - April 23, 2004
PIPER SANDLER & CO.
July 17, 1996 - February 20, 1998
LOEWENBAUM & COMPANY INCORPORATED
July 10, 1995 - May 17, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 12, 1993 - February 9, 1995
MONTANO SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2018)
(5/7/2018)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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