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AR

Anshuman Ray

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CRD#: 4601483
AR

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.

Anshuman Ray was a registered financial professional .

Anshuman is a previously registered financial professional and started their career in finance in 2006. Anshuman had worked at 5 firms and has passed the Series 63, SIE and Series 7 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

April 9, 2018 - July 27, 2021

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
BOCA RATON, FL
Past

August 29, 2013 - October 31, 2014

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

March 20, 2013 - September 3, 2013

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

October 6, 2006 - March 14, 2013

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

January 9, 2006 - July 13, 2006

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
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: 1/17/2006
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: 1/6/2006
General Securities Representative Examination

Current Firm

EC
ENCLAVE CAPITAL LLC
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.

CRD#: 22732 / SEC#: , 8-39592

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

Main Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Mailing Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Phone number
(646) 454-8600
Established
Delaware since 05/31/1995
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZEO, ROBERT LOUIS IIMANAGING MEMBER/CEO2460221
DUMONT, SUSAN ELIZABETHCCO2346501
VITTOR, GREG TODDFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER1864219

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

ENCLAVE CAPITAL LLC

CRD#: 22732

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