Bipinchandra R. Shukla
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.
Bipinchandra Revashanker Shukla, who also goes by Bipin Shukla, Bipinchandra R Shukla, Bippin R Shukla, was a registered financial professional .
Bipinchandra is a previously registered financial professional and started their career in finance in 1968. Bipinchandra had worked at 12 firms and has passed the Series 63, Series 5, PC, Series 1, Series 51, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - October 27, 2009
WINDFALL SECURITIES LLC
February 6, 1996 - March 1, 2010
MILSTREAM SECURITIES LLC
January 13, 1995 - June 6, 1996
AEGIS CAPITAL CORP.
September 29, 1994 - January 17, 1995
MEYERS POLLOCK ROBBINS, INC.
December 8, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
September 11, 1990 - December 17, 1992
HAMPSHIRE SECURITIES CORPORATION
April 9, 1990 - July 11, 1990
STUART, COLEMAN & CO., INC.
August 25, 1989 - April 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1975 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
August 2, 1972 - June 5, 1974
HALLE & STIEGLITZ, FILOR BULLARD, INC.
September 29, 1970 - July 29, 1972
A. G. EDWARDS & SONS, INC.
January 26, 1968 - September 21, 1972
MAYFLOWER SECURITIES CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 4/9/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 9/24/1970
Registered Representative ExaminationCurrent Firm
WINDFALL SECURITIES LLC
CRD#: 147779 / SEC#: , 8-67927
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRON CAPITAL HOLDINGS, LLC | PARENT | |
| LOEWER, JORDAN LAWRENCE | CCO | 709168 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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