Komal V. Joshi
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.
Komal Virendra Joshi, who also goes by Komal V Joshi, was a registered financial professional .
Komal is a previously registered financial professional and started their career in finance in 2000. Komal had worked at 5 firms and has passed the Series 63, SIE 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
October 5, 2015 - November 16, 2015
FINANCIAL WEST GROUP
September 30, 2013 - June 9, 2014
DEUTSCHE BANK SECURITIES INC.
April 1, 2010 - October 2, 2013
BMO CAPITAL MARKETS CORP.
February 14, 2006 - December 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 27, 2000 - January 31, 2005
CREDIT SUISSE SECURITIES (USA) LLC
March 6, 2000 - April 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
