Julia H. Garg
Professional summary
Julia H. Garg, who also goes by Julia Harris Garg, Julia Harris, Julia Harrisgarg, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Chicago, Illinois.
Julia is registered as a RR (Registered Representative) and started their career in finance in 1997. Julia has worked at 4 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 7TO, SIE, Series 7, Series 53 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julia H. Garg's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2022 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 625 N. Michigan Avenue Suite 2350, Chicago, IL 60611March 7, 2022 - April 22, 2022
THE BAKER GROUP, LP
February 15, 2002 - April 10, 2002
GOLDMAN SACHS & CO. LLC
June 18, 1999 - February 4, 2002
GOLDMAN SACHS & CO. LLC
December 17, 1997 - May 11, 1999
BANC ONE CAPITAL MARKETS, 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
(4/27/2022)
(4/27/2022)
Exams
Series 79TO
Date: 4/10/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 3/21/2022
Municipal Securities Representative ExaminationSeries 7TO
Date: 3/7/2022
General Securities Representative ExaminationFINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
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