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AS

Atul Shrivastava

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CRD#: 4255623
AS

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.

Atul Shrivastava was a registered financial professional .

Atul is a previously registered financial professional and started their career in finance in 2000. Atul had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 24, 2019 - March 21, 2023

ASL CAPITAL MARKETS INC.

BD
CRD#: 286115
STAMFORD, CT
Past

February 10, 2009 - October 2, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 31, 2007 - December 15, 2008

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

May 22, 2006 - December 4, 2006

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

February 28, 2001 - May 18, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 24, 2000 - March 26, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2020
General Securities Principal Examination

Current Firm

AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.

CRD#: 286115 / SEC#: , 8-69872

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALADIN SECURED LENDING INCSOLE SHAREHOLDER
GERHARD, EVAN NATHANIELCEO AND PRESIDENT4703417
NEILL, JAMES KERBYCCO6571606
TUITE, ROBERT KEVINCFO/FINOP2862493

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

ASL CAPITAL MARKETS INC.

CRD#: 286115

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