Amit A. Jogal
Professional summary
Amit Ashok Jogal is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.
Amit is registered as a RR (Registered Representative) and started their career in finance in 1994. Amit has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amit Ashok Jogal's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2021 - Present
THIRD SEVEN CAPITAL LLC
Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830October 8, 2010 - May 10, 2019
BNP PARIBAS SECURITIES CORP.
May 20, 2002 - July 19, 2004
J. B. HANAUER & CO.
July 6, 1995 - July 19, 2004
J. B. HANAUER & CO.
November 7, 1994 - March 9, 1995
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2021)
(1/26/2023)
(10/22/2021)
(11/2/2021)
(11/23/2021)
(9/23/2024)
(10/22/2021)
(6/4/2024)
(10/25/2021)
(10/22/2021)
(12/20/2023)
(10/22/2021)
(9/24/2024)
Exams
FINRA
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
