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MA

Maneesh Awasthi

MARV CAPITAL
NEW YORK, NY
·CRD# 2931277·29 years experience

Professional Summary

Maneesh Awasthi is a registered financial advisor currently at MARV CAPITAL INC. located in New York, New York. Maneesh is registered as a RR (Registered Representative) and started their career in finance in 1997. Maneesh has worked at 7 firms and has passed the Series 63, Series 82TO, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

MARV CAPITAL INC.·CRD# 104390
BD
450 7th Ave. Suite 609, New York, NY 10123
July 29, 2010 - Present
MARV CAPITAL INC.·CRD# 104390
BD
New York, NY
June 9, 2010 - June 10, 2010
SOUTHRIDGE INVESTMENT GROUP LLC·CRD# 45531
BD
New York, NY
February 12, 2009 - July 29, 2010
NEWEDGE USA, LLC·CRD# 36118
BD
New York, NY
November 25, 2008 - December 16, 2008
BROADPOINT DESCAP·CRD# 14997
BD
New York, NY
July 9, 2008 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
April 4, 2005 - March 3, 2008
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
September 21, 2000 - March 24, 2005
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
November 10, 1997 - September 12, 2000

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Current Firm

MC
MARV CAPITAL INC.

MARINO CAPITAL PARTNERS | NETCAP VENTURES, INC. | NET CAP SECURITIES | MARV CAPITAL INC.

CRD#: 104390 / SEC#: 8-52855
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

1 West End Avenue Suite 11d, New York, NY 10023

Mailing Address

1 West End Avenue Suite 11d, New York, NY 10023

Phone Number

(347) 556-7263

Established

California since 05/16/2000

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (4 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARV CAPITAL PARTNERS, LLCDIRECT OWNER—
AWASTHI, MANEESHEXECUTIVE OFFICER2931277
GEORGE, CHRISTOPHER MFINOP6084415
VIRUPAKSHA, RAPARTHIEXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER5334660

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(7/29/2010)
RR
New York
(7/29/2010)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1997About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Jan 2026About the Series 82TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1997About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jun 2026About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Aug 2010About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Maneesh Awasthi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MA
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