Mohit A. Khanna
Professional summary
Mohit Anand Khanna was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mohit is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Mohit had worked at 4 firms, which includes ASSOCIATED SECURITIES CORP., ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, FORESTERS EQUITY SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2003 - June 1, 2004
ASSOCIATED SECURITIES CORP.
August 8, 2002 - May 28, 2004
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
July 22, 2002 - June 1, 2004
ASSOCIATED SECURITIES CORP.
April 30, 2002 - July 22, 2002
FORESTERS EQUITY SERVICES, INC.
May 2, 2000 - May 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2000 - May 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
Red Flags
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