Bishen Pertab

ICICI SECURITIES

New York, NY 10036

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CRD#: 3159346

Professional summary

Bishen Pertab, who also goes by Tony Pertab, is a registered financial professional currently at ICICI SECURITIES INC. located in New York, New York.

Bishen is registered as a RR (Registered Representative) and started their career in finance in 1998. Bishen has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Pertab

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 Bishen Pertab'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

June 11, 2012 - Present

ICICI SECURITIES INC.

Office #1: 1120 Avenue Of The Americas 4th Floor, New York, NY 10036Office #2: 1120 Avenue Of The Americas 4th Floor, New York, NY 10036Office #3: 10 Collyer Quay, #40-92 Ocean Financial Centre, Singapore 049315

CRD#: 104285

New York, NY

Past

November 1, 2007 - August 6, 2009

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

December 21, 1998 - October 29, 2007

AFFINA BROKERAGE SERVICES, LLC

CRD#: 20943

RYE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/24/2012)

Colorado
(8/24/2012)

Connecticut
(8/24/2012)

Delaware
(8/24/2012)

District of Columbia
(8/24/2012)

Florida
(8/24/2012)

Illinois
(8/24/2012)

Iowa
(8/8/2014)

Kansas
(7/28/2014)

Maine
(3/8/2017)

Maryland
(8/24/2012)

Massachusetts
(8/24/2012)

New Jersey
(8/24/2012)

New Mexico
(1/18/2019)

New York
(8/24/2012)

Ohio
(3/20/2023)

Pennsylvania
(8/24/2012)

Rhode Island
(3/16/2023)

Texas
(8/24/2012)

Utah
(8/24/2012)

Virginia
(3/30/2023)

Washington
(8/24/2012)

Wisconsin
(1/23/2019)

Exams

State Security Law Exam

Series 63

Date: 8/23/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ICICI SECURITIES INC.

CRD#: 104285 / SEC#: , 8-52746

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1120 Avenue Of The Americas 4th Floor, New York, NY 10036

Mailing Address

1120 Avenue Of The Americas 4th Floor, New York, NY 10036

Phone number

(212) 388-0677

Established

Delaware since 06/13/2000

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICICI SECURITIES HOLDINGS INC.	SHAREHOLDER
AGRAWAL, RISHI RATANLAL	DIRECTOR	5667378
GOSWAMI, JAIDEEP BISHNUPADA	DIRECTOR	6064309
KARKHANIS, KETAN RAJNIKANT	DIRECTOR	8185679
OBSBAUM, FREDRIC MICHAEL	FINOP	1160811
PERTAB, BISHEN	DIRECTOR/PRESIDENT/CEO/CCO	3159346

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Bishen Pertab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bishen Pertab's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

AFFINA BROKERAGE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1998

Series 14

Date: 1/2/2023

Series 24

Date: 5/29/2012

FINRA

Current Firm

ICICI SECURITIES INC.

Contact information

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ICICI SECURITIES INC.

TRUST BUT VERIFY

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