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HJ

Harsh Jaggi

KINGSROCK SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2722325
HJ

Professional summary

Harsh Jaggi is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.

Harsh is registered as a RR (Registered Representative) and started their career in finance in 1996. Harsh has worked at 6 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 9 and Series 10 exams.

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 Harsh Jaggi'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

February 19, 2026 - Present

KINGSROCK SECURITIES LLC

Office #1: 900 Third Avenue - Suite 1801, New York, NY 10022
BD
CRD#: 325143
NEW YORK, NY
Past

December 3, 2020 - June 2, 2025

REVA CAPITAL MARKETS LLC

BD
CRD#: 105791
NEW YORK, NY
Past

June 14, 2011 - August 18, 2020

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 4, 2005 - June 8, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

November 14, 2002 - February 7, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

November 18, 1996 - June 9, 1999

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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
New Jersey
(2/19/2026)
RR
New York
(2/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 2/19/2026
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/7/2010
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/12/2010
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KINGSROCK SECURITIES LLC
KINGSROCK SECURITIES LLC

CRD#: 325143 / SEC#: , 8-71064

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

Main Address
900 Third Avenue, Suite 1801, New York, NY 10022
Mailing Address
900 Third Avenue, Suite 1801, New York, NY 10022
Phone number
(917) 992-4544
Established
Delaware since 01/20/2023
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (6 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#
KINGSROCK ADVISORS LLCMEMBER
GOODE, JACQUELINE MARIECCO1292607
JAFFE, LOUIS STEVENCHIEF EXECUTIVE OFFICER & MANAGING PARTNER2310182
PLOTYCIA, STEVEN WILLIAMFINOP/POO/PFO5293014
WOHLIN, HAKAN NILSMANAGING PARTNER2329972

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

KINGSROCK SECURITIES LLC

CRD#: 325143New York, NY 10022

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