Gaurang B. Desai
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.
Gaurang Balwant Desai was a registered financial professional .
Gaurang is a previously registered financial professional and started their career in finance in 1998. Gaurang had worked at 6 firms and has passed the Series 63, Series 56, 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
March 23, 2011 - January 27, 2012
CHIMERA SECURITIES, LLC
July 25, 2006 - February 14, 2008
LEHMAN BROTHERS INC.
October 18, 2005 - January 24, 2006
LEHMAN BROTHERS INC.
March 3, 2003 - February 23, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
June 7, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
December 1, 1999 - January 12, 2000
LIGHTSPEED PROFESSIONAL TRADING LLC
October 21, 1998 - June 3, 1999
HEARTLAND SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 56
Date: 10/29/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 7/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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