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SI

Srinivasan Iyer

ASL CAPITAL MARKETS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2769203
SI

Professional summary

Srinivasan Iyer, who also goes by Sri Iyer, is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.

Srinivasan is registered as a RR (Registered Representative) and started their career in finance in 1998. Srinivasan has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sri Iyer

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 Srinivasan Iyer'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

September 20, 2022 - Present

ASL CAPITAL MARKETS INC.

Office #1: 600 Summer Street Suite 402, Stamford, CT 06901
BD
CRD#: 286115
Stamford, CT
Past

August 30, 2018 - June 28, 2022

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 14, 2017 - July 9, 2018

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

October 18, 2013 - February 15, 2017

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

November 9, 2000 - August 29, 2013

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

July 27, 1998 - January 23, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, 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
Alabama
(9/20/2022)
RR
Alaska
(9/20/2022)
RR
Arizona
(9/20/2022)
RR
Arkansas
(9/20/2022)
RR
California
(9/20/2022)
RR
Colorado
(9/20/2022)
RR
Connecticut
(9/20/2022)
RR
Delaware
(9/20/2022)
RR
District of Columbia
(9/20/2022)
RR
Florida
(9/20/2022)
RR
Georgia
(9/20/2022)
RR
Idaho
(9/20/2022)
RR
Illinois
(9/20/2022)
RR
Indiana
(9/20/2022)
RR
Iowa
(9/20/2022)
RR
Kansas
(9/20/2022)
RR
Kentucky
(9/20/2022)
RR
Louisiana
(9/20/2022)
RR
Maine
(9/20/2022)
RR
Maryland
(9/20/2022)
RR
Massachusetts
(9/20/2022)
RR
Michigan
(9/20/2022)
RR
Minnesota
(9/20/2022)
RR
Mississippi
(9/20/2022)
RR
Missouri
(9/20/2022)
RR
Montana
(9/20/2022)
RR
Nebraska
(9/20/2022)
RR
Nevada
(9/20/2022)
RR
New Hampshire
(9/20/2022)
RR
New Jersey
(9/20/2022)
RR
New Mexico
(9/20/2022)
RR
New York
(9/20/2022)
RR
North Carolina
(9/20/2022)
RR
North Dakota
(9/20/2022)
RR
Ohio
(9/27/2022)
RR
Oklahoma
(9/20/2022)
RR
Oregon
(9/20/2022)
RR
Pennsylvania
(9/20/2022)
RR
Rhode Island
(9/20/2022)
RR
South Carolina
(9/20/2022)
RR
South Dakota
(9/20/2022)
RR
Tennessee
(9/20/2022)
RR
Texas
(9/20/2022)
RR
Utah
(9/20/2022)
RR
Vermont
(9/20/2022)
RR
Virginia
(9/20/2022)
RR
Washington
(9/20/2022)
RR
West Virginia
(9/20/2022)
RR
Wisconsin
(9/20/2022)
RR
Wyoming
(9/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.

CRD#: 286115 / SEC#: , 8-69872

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

Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALADIN SECURED LENDING INCSOLE SHAREHOLDER
GERHARD, EVAN NATHANIELCEO AND PRESIDENT4703417
NEILL, JAMES KERBYCCO6571606
TUITE, ROBERT KEVINCFO/FINOP2862493

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

ASL CAPITAL MARKETS INC.

CRD#: 286115Stamford, CT 06901

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