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SM

Surat Maheshwari

GT SECURITIES
Los Angeles, CA 90094
Some features on this profile are disabled
CRD#: 2547187
SM

Professional summary

Surat Maheshwari is a registered financial professional currently at GT SECURITIES, INC. located in Los Angeles, California.

Surat is registered as a RR (Registered Representative) and started their career in finance in 1994. Surat has worked at 10 firms and has passed the Series 63, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Surat Maheshwari'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

June 16, 2020 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094
BD
CRD#: 116012
Los Angeles, CA
Past

November 6, 2013 - December 16, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

December 4, 2012 - March 11, 2013

PINE SECURITIES USA LLC

BD
CRD#: 161289
NEW YORK, NY
Past

March 11, 2011 - February 16, 2012

ITAU BBA USA SECURITIES, INC.

BD
CRD#: 118817
NEW YORK, NY
Past

July 14, 2008 - October 19, 2010

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 13, 2004 - December 11, 2007

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

April 30, 2001 - April 23, 2003

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

October 4, 1999 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

October 8, 1998 - November 20, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 21, 1994 - October 8, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

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
California
(9/3/2020)
RR
New York
(9/22/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 1/21/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GT SECURITIES, INC.
GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
12130 Millennium Dr Suite 300, Los Angeles, CA 90094
Mailing Address
12130 Millennium Dr, Los Angeles, CA 90094
Phone number
(310) 846-5004
Established
California since 12/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 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#
GROWTHINK, INC.PARENT CORPORATION
MUELLER, MICHELLECHIEF COMPLIANCE OFFICER6707697
TURO, JAMES STEVENMANAGING DIRECTOR2083402

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

GT SECURITIES, INC.

CRD#: 116012Los Angeles, CA 90094

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