Ramesh K. Anantha
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ramesh Kumar Anantha, who also goes by Ramesh K Anantha, Ramesh Kumar Anantha, Ramesh Anantha, was a registered financial professional .
Ramesh is a previously registered financial professional and started their career in finance in 1996. Ramesh had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2017 - July 5, 2017
FIRST EMPIRE SECURITIES, INC.
October 27, 2016 - January 13, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 1, 2015 - April 13, 2016
CG CAPITAL MARKETS, LLC
September 29, 2014 - April 13, 2015
MESIROW FINANCIAL, INC.
December 3, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
December 3, 2012 - March 31, 2014
SANTANDER US CAPITAL MARKETS LLC
March 8, 2010 - November 29, 2012
CROSS POINT CAPITAL LLC
July 8, 2008 - February 26, 2010
AUSTIN ATLANTIC CAPITAL INC.
November 17, 2005 - July 2, 2008
FERRIS, BAKER WATTS, LLC
August 17, 2001 - December 7, 2004
BANC OF AMERICA SECURITIES LLC
January 25, 2001 - May 4, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 16, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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