Niki K. Singh
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.
Niki Kumar Singh, who also goes by Nishit Kumar Singh, was a registered financial professional .
Niki is a previously registered financial professional and started their career in finance in 2007. Niki had worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - June 11, 2021
GREAT POINT CAPITAL LLC
September 9, 2015 - July 14, 2016
GREAT POINT CAPITAL LLC
February 22, 2011 - September 29, 2014
GREAT POINT CAPITAL LLC
September 24, 2007 - September 12, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/23/2008
Limited Representative-Equity Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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