Jacquelyn S. Ganguly
Professional summary
Jacquelyn S Ganguly, who also goes by Jacquelyn S. Ganguly, Jacquelyn Shriver Ganguly, Jacquelin Jane Shriver, Jacquelyn Jane Shriver, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York.
Jacquelyn is registered as a RR (Registered Representative) and started their career in finance in 1997. Jacquelyn has worked at 8 firms and has passed the SIE, Series 7, Series 16 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacquelyn S Ganguly's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2022 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019April 8, 2021 - June 10, 2022
BERENBERG CAPITAL MARKETS LLC
April 23, 2009 - April 12, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 9, 2007 - August 1, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 12, 2005 - August 27, 2007
RYAN BECK & CO.
June 17, 2003 - April 16, 2004
BREAN MURRAY & CO., INC.
February 1, 2002 - April 24, 2003
BREAN MURRAY & CO., INC.
October 10, 2000 - November 15, 2001
TUCKER ANTHONY INCORPORATED
July 30, 1998 - February 5, 1999
H.C.WAINWRIGHT & CO., LLC
November 24, 1997 - July 15, 1998
ADVEST, 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
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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