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VA

Vineet Asthana

KROLL SECURITIES LLC
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 3072830
VA

Professional summary

Vineet Asthana is a registered financial professional currently at KROLL SECURITIES LLC located in New York, New York.

Vineet is registered as a RR (Registered Representative) and started their career in finance in 2001. Vineet has worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vineet Asthana's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 18, 2024 - Present

KROLL SECURITIES LLC

Office #1: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007
BD
CRD#: 36927
NEW YORK, NY
Past

March 23, 2016 - April 11, 2024

BERKERY NOYES SECURITIES, LLC

BD
CRD#: 155918
NEW YORK, NY
Past

May 29, 2014 - August 7, 2015

INTE SECURITIES LLC

BD
CRD#: 47107
BOCA RATON, FL
Past

October 22, 2013 - January 7, 2014

ACC SECURITIES, LLC

BD
CRD#: 167019
NEW YORK, NY
Past

September 9, 2011 - July 27, 2012

CENTRUM SECURITIES LLC

BD
CRD#: 148474
NEW YORK, NY
Past

July 3, 2006 - June 21, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 29, 2006 - May 11, 2006

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

October 19, 2005 - March 22, 2006

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

February 12, 2001 - December 13, 2001

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY
Past

February 12, 2001 - January 5, 2002

FIVE ARROWS CAPITAL MARKETS LLC

BD
CRD#: 103806
NEW YORK, NY

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(8/5/2024)
RR
New York
(4/18/2024)
RR
Pennsylvania
(11/11/2024)
RR
Texas
(12/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/16/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/10/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KROLL SECURITIES LLC
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Mailing Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Phone number
(312) 697-4600
Established
Delaware since 06/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KROLL, LLCOWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL OFFICER5325007
ATTANASIO, ELIZABETH MARIEFINOP5325007
ATTANASIO, ELIZABETH MARIEPRINCIPAL OPERATIONS OFFICER5325007
BARTELL, ROBERT ANTHONYVICE CHAIRMAN4998599
BENN, JOSHUA KOGANMANAGING DIRECTOR3166674
BLOWERS, DAVID CHARLES JR.CEO5960307
BURT, STEPHEN MPRESIDENT2679117
CAPITMAN, ANDREW WILLIAMMANAGING DIRECTOR2321386
JANCOVIC, GIZELLE MARIECHIEF COMPLIANCE OFFICER5654006
LU, DAVID HAI GEMANAGING DIRECTOR3069820
MOON, STEVEN JAE-HOMANAGING DIRECTOR4860246

Disclosures

Regulatory Event1

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.

Company Information

KROLL SECURITIES LLC

CRD#: 36927New York, NY 10007

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