Monty Agarwal
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.
Monty Agarwal, who also goes by Anuj Agarwal, was a registered financial professional .
Monty is a previously registered financial professional and started their career in finance in 1996. Monty had worked at 7 firms and has passed the Series 66, 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
April 3, 2017 - May 30, 2019
NORFOLK MARKETS, LLC
March 22, 2016 - April 4, 2017
CORONADO INVESTMENTS, LLC
June 4, 2014 - April 28, 2015
NEWPORT COAST SECURITIES, INC.
March 19, 2013 - April 29, 2014
U.S. FINANCIAL INVESTMENTS, INC.
February 18, 2013 - March 21, 2013
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
October 27, 1998 - July 28, 1999
BARCLAYS CAPITAL INC.
October 22, 1996 - October 7, 1998
DB ALEX. BROWN LLC
State Registrations and Notice Filings
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Exams
Current Firm
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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