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AK

Amit Khurana

Some features on this profile are disabled
CRD#: 4488902
AK

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.

Amit Khurana was a registered financial professional .

Amit is a previously registered financial professional and started their career in finance in 2002. Amit had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

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

April 28, 2020 - October 2, 2020

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

April 15, 2015 - February 25, 2019

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

December 21, 2011 - January 14, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
NEW YORK, NY
Past

February 24, 2011 - October 17, 2011

ALLY SECURITIES LLC

BD
CRD#: 25988
NEW YORK, NY
Past

April 23, 2010 - February 18, 2011

ELEVATION, LLC

BD
CRD#: 140341
NEW YORK, NY
Past

May 5, 2009 - April 23, 2010

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

May 28, 2008 - April 27, 2009

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

November 9, 2007 - January 31, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 12, 2006 - October 11, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

April 9, 2002 - June 9, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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: 4/22/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/2002
General Securities Representative Examination

Current Firm

SS
STORMHARBOUR SECURITIES LP
MYERBERG & COMPANY, L.P. | STORMHARBOUR SECURITIES LP

CRD#: 35997 / SEC#: , 8-46999

BD
Terminated by SEC on 06/27/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/03/2009
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STORMHARBOUR PARTNERS LPLIMITED PARTNER
CHAPEY, FREDRICK JOSEPH JR.MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER, INVESTMENT BANKING MANAGER2053857
STORMHARBOUR SECURITIES GP LLCGENERAL PARTNER
VITTOR, GREG TODDFINOP1864219

Disclosures

Regulatory Event3

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

STORMHARBOUR SECURITIES LP

CRD#: 35997

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