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JS

Joshua M. Sapir

Some features on this profile are disabled
CRD#: 4489793
JS

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.

Joshua Marc Sapir, who also goes by Joshua Marc Sapik, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2006. Joshua had worked at 2 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Marc Sapik

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

June 7, 2006 - March 21, 2014

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

May 19, 2006 - June 14, 2006

MULTITRADE SECURITIES LLC

BD
CRD#: 47485
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: 7/22/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 7/31/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/18/2006
General Securities Representative Examination

Current Firm

CC
CHARDAN CAPITAL MARKETS LLC
CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

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

Main Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Mailing Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Phone number
(646) 465-9000
Established
New York since 03/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARDAN SECURITIES, LLCMEMBER
GROSSMAN, JONAS SVEN MAGNUSPRESIDENT3186901
MILLER, ANDREW DAVIDFINOP5106774
MILLER, ANDREW DAVIDPRINCIPAL OPERATIONS CFFICER5106774
MILLER, ANDREW DAVIDPRINCIPAL FINANCIAL OFFICER5106774
SOUTHWICK, DWIGHT CHRISTIANCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1353036
URBACH, STEVEN AARONCEO4137317

Disclosures

Regulatory Event14

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

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

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