Gautham Shankar
Professional summary
Gautham Shankar was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gautham is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Gautham had worked at 5 firms, which includes SCHOTTENFELD GROUP LLC, HSBC SECURITIES (USA) INC., UBS CAPITAL MARKETS L.P., SOUNDVIEW TECHNOLOGY CORPORATION, GOLDMAN SACHS & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2006 - October 21, 2008
SCHOTTENFELD GROUP LLC
December 9, 2004 - March 6, 2006
HSBC SECURITIES (USA) INC.
January 12, 2004 - November 11, 2004
UBS CAPITAL MARKETS L.P.
March 5, 2003 - January 12, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
October 24, 2000 - November 25, 2002
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 11/30/2006
Limited Representative-Equity Trader ExamCurrent Firm
SCHOTTENFELD GROUP LLC
CRD#: 128103 / SEC#: , 8-66088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER, CEO | 1280443 |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| RISI, SALVATORE ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1072513 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
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