Amish B. Jhaveri
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.
Amish Bharat Jhaveri, who also goes by Jhaveri Bharat Amish, was a registered financial professional .
Amish is a previously registered financial professional and started their career in finance in 2000. Amish had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
May 7, 2010 - January 25, 2023
ALVAREZ & MARSAL SECURITIES, LLC
September 11, 2008 - March 24, 2009
RODMAN & RENSHAW, LLC
April 24, 2007 - September 5, 2008
B. RILEY SECURITIES, INC.
September 8, 2005 - December 15, 2006
J.P. MORGAN SECURITIES LLC
September 18, 2000 - February 13, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALVAREZ & MARSAL SECURITIES, LLC
CRD#: 127858 / SEC#: , 8-66055
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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