Anoop N. Prasad
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.
Anoop Nmn Prasad, who also goes by Anoop Nmn Prasad, was a registered financial professional .
Anoop is a previously registered financial professional and started their career in finance in 1998. Anoop had worked at 3 firms and has passed the Series 63, SIE, Series 55 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 19, 1999 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
February 12, 1998 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
February 12, 1998 - November 9, 2018
D.E. SHAW SECURITIES, L.L.C.
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
Series 55
Date: 6/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
D. E. SHAW VALENCE, L.L.C.
CRD#: 31995 / SEC#: , 8-45594
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW VALENCE PORTFOLIOS, L.L.C. | MEMBER | |
| D. E. SHAW & CO., L.P. | MANAGING MEMBER | |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2078654 |
| ELIAS, ROCHELLE ASSAEL | CHIEF COMPLIANCE OFFICER | 724288 |
| GAUDIO, JULIUS RALPH | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2406744 |
| LIFTIN, JOHN MATTHEW | GENERAL COUNSEL OF D. E. SHAW & CO., L.P. | 1447945 |
| SALKIND, LOUIS KEN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 1926517 |
| SHAW, DAVID ELLIOT | CHAIRMAN, PRESIDENT & SOLE SHAREHOLDER OF D. E. SHAW & CO., INC. | 1557735 |
| STECKLER, STUART | CFO; MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2022720 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2246217 |
| WEPSIC, ERIC KARL | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2489161 |
Red Flags
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