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AA

Ajay Ahuja

THREADMARK LP
New York, NY 10022
Some features on this profile are disabled
CRD#: 2720807
AA

Professional summary

Ajay Ahuja is a registered financial professional currently at THREADMARK LP located in New York, New York.

Ajay is registered as a RR (Registered Representative) and started their career in finance in 2012. Ajay has worked at 4 firms and has passed the Series 99TO, SIE, Series 82, Series 24 and Series 28 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 Ajay Ahuja'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

July 15, 2019 - Present

THREADMARK LP

Office #1: 300 Park Avenue 2nd Floor, New York, NY 10022
BD
CRD#: 173318
New York, NY
Past

August 28, 2018 - June 21, 2019

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

December 1, 2017 - September 4, 2018

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
Westport, CT
Past

July 13, 2012 - July 31, 2017

EATON PARTNERS, LLC

BD
CRD#: 31170
ROWAYTON, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

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 82
Date: 12/1/2017
Limited Representative-Private Securities Offerings
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/12/2012
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THREADMARK LP
THREADMARK LP

CRD#: 173318 / SEC#: , 8-69535

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

Main Address
300 Park Avenue 2nd Floor, New York, NY 10022
Mailing Address
300 Park Avenue 2nd Floor, New York, NY 10022
Phone number
(917) 397-2301
Established
Delaware since 04/22/2014
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THREADMARK GP, LLCGENERAL PARTNER
AHUJA, AJAYCFO/COO/POO2720807
CHAPMAN, BRUCE HUNTLEACCO5062739
GALES, WILHELMINA ANNA MCEO2951268
ROCHE, PASCALFINOP/PFO5920968

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

THREADMARK LP

CRD#: 173318New York, NY 10022

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