Ashok R. Gangolli

GRAMERCY CONSULTING GROUP LLC

SEATTLE, WA

Some features on this profile are disabled

CRD#: 2406390

Professional summary

Ashok Ramesh Gangolli is a registered financial advisor currently at GRAMERCY CONSULTING GROUP LLC located in Seattle, Washington.

Ashok is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Ashok has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashok Ramesh Gangolli's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 6, 2015 - Present

GRAMERCY CONSULTING GROUP LLC

RIA

CRD#: 151048

SEATTLE, WA

Past

June 10, 2010 - November 1, 2010

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

CHICAGO, IL

Past

November 16, 2007 - February 15, 2008

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

June 27, 2005 - November 8, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 23, 2001 - August 2, 2002

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 9, 1993 - April 21, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(12/10/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/24/2005

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/27/1993

National Commodity Futures Examination

Current Firm

GRAMERCY CONSULTING GROUP LLC

AGAPE CAPITAL MANAGEMENT & PROJECT FINANCE | GRAMERCY CONSULTING GROUP LLC | GRAMERCY CONSULTING GROUP | GCG

CRD#: 151048 / SEC#: 801-78246

RIA

Registered Investment Advisory firm - (2/9/2016 Terminated)

New York

Registered Investment Advisory firm - (11/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (11/19/2019 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(917) 861-3216

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 2,731,952

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ashok R. Gangolli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashok Ramesh Gangolli's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRAMERCY CONSULTING GROUP LLC

BREWER FINANCIAL SERVICES, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

CITIGROUP GLOBAL MARKETS INC.

UBS SECURITIES LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2016

Series 63

Date: 6/24/2010

Series 7

Date: 6/24/2005

Series 3

Date: 10/27/1993

Current Firm

GRAMERCY CONSULTING GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRAMERCY CONSULTING GROUP LLC

TRUST BUT VERIFY

Similar Advisors