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Manju Basavaraju

JOSEPH CAPITAL
San Juan, PR
Some features on this profile are disabled
CRD#: 2535578
MB

Professional summary

Manju Basavaraju, who also goes by Manjunath Basavaraju, is a registered financial professional currently at JOSEPH CAPITAL, LLC located in San Juan, .

Manju is registered as a RR (Registered Representative) and started their career in finance in 1994. Manju has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Manjunath Basavaraju

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) - BD

Click below to view Manju Basavaraju's CRS (Customer Relationship Summary).
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 21, 2008 - Present

JOSEPH CAPITAL, LLC

BD
CRD#: 120414
San Juan, PR
Past

January 17, 2003 - March 30, 2006

SOMA PARTNERS, LLC

BD
CRD#: 47744
SOUTH ORANGE, NJ
Past

April 15, 1999 - March 23, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 30, 1994 - January 26, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

September 30, 1994 - January 26, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/5/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JC
JOSEPH CAPITAL, LLC
CONCENTRIC CAPITAL PARTNERS, LLC | JOSEPH CAPITAL, LLC

CRD#: 120414 / SEC#: , 8-65293

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
512 East 82nd St. Apt. 3b, New York, NY 10028
Mailing Address
512 East 82nd St., New York, NY 10028
Phone number
(917) 817-7674
Established
Delaware since 02/28/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOSEPH ADVISORS LTD.MEMBER
MILLER, JOHN STEVENSONCHIEF FINANCIAL OFFICER2139980
ROSS, MICHAEL PHILLIPCEO / CCO3133134

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.

Company Information

JOSEPH CAPITAL, LLC

CRD#: 120414San Juan, PR

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