Manoj K. Sharma
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.
Manoj Kr Sharma was a registered financial professional .
Manoj is a previously registered financial professional and started their career in finance in 1997. Manoj had worked at 9 firms and has passed the Series 63 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
December 3, 2010 - March 18, 2011
CHARLES MORGAN SECURITIES, INC.
January 23, 2009 - February 19, 2009
ROCKWELL SECURITIES LLC
September 8, 2006 - January 18, 2007
PHD CAPITAL
March 29, 2004 - September 22, 2004
GREAT EASTERN SECURITIES, INC.
June 2, 2003 - October 21, 2003
EKN FINANCIAL SERVICES INC.
June 20, 2002 - September 30, 2002
FIRST MONTAUK SECURITIES CORP.
November 30, 2001 - July 18, 2002
JOSEPH GUNNAR & CO. LLC
November 15, 2000 - December 5, 2001
LADENBURG THALMANN & CO. INC.
December 1, 1997 - December 7, 2000
PRIME CHARTER LTD.
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
Current Firm
CHARLES MORGAN SECURITIES, INC.
CRD#: 138887 / SEC#: , 8-67181
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
