AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
AB

Archan Kumar Basu

CRD# 4858411·Registered 2011 - 2026
Previously Registered: Being a previously registered professional could mean that Archan 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.

Professional Summary

Archan Kumar Basu was a registered financial advisor. Archan was a previously registered financial professional and started their career in finance 2011 - 2026. Archan had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Years of Experience

15 years in the financial services industry

Current & Past Employments

Past

ALTAR ROCKPast·CRD# 326868
RIA
New York, NY
June 17, 2024 - August 14, 2026
CRESSET ASSET MANAGEMENT, LLCPast·CRD# 288566
RIA
Lexington, MA
September 22, 2021 - January 3, 2023
FIDELITY DISTRIBUTORS COMPANY LLCPast·CRD# 17507
BD
Smithfield, RI
July 19, 2013 - January 6, 2020
J.P. MORGAN SECURITIES LLCPast·CRD# 79
BD
New York, NY
August 4, 2011 - May 14, 2013

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Current Firm

AR
ALTAR ROCK

ALTAR ROCK | ALTAR ROCK LLC

CRD#: 326868 / SEC#: 801-134664
RIA
Registered Investment Advisory firm - SEC (11/18/2025 Approved)
Massachusetts
Registered Investment Advisory firm - Massachusetts (12/8/2025 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (2/3/2026 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

New York, NY

Mailing Address

407 East 70th Street 5th Floor, New York, NY 10021

Phone Number

(917) 226-0565

# of Employees

7

SEC notice filing (5 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - ALTAR ROCK LLC (9/11/2026)

Regulatory Assets Under Management

Total Number of Accounts

111

AUM (Assets Under Management)

$158,692,083

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Archan Kumar Basu is a member of the Arts Advisory Council at Laxmi Mittal South Asia Institute, Harvard University. Archan Kumar Basu is a Charter member at TiE Boston. Archan Kumar Basu is a board member of MIT South Asian Alumni Association. Archan Kumar Basu is a Schools Committee Member at Indian Americans of Lexington. Archan Kumar Basu volunteers at Well Being and Equity in the World Institute. Archan Kumar Basu volunteers at Commonwealth Shakespeare Company Archan Kumar Basu volunteers at Museum of Fine Arts, Boston in South Asian and Islamic Art. Name of outside business: Town of Lexington; Is the business investment related: No; Location of the business: Town of Lexington, MA Lexington MA 02420 USA; Position Title: Town Meeting Member, Precinct 7, and Chairperson of Ad Hoc Crematory Study Committee II; Responsibilities Duties: Participate in local decision making for the town of Lexington, MA. Includes regular town meetings during spring and fall sessions. Also includes participation in committees chartered by Lexington from time to time.; Start date with business: 2025-03-17; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 3;Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No; Life Insurance Producer, Altar Rock Insurance LLC, Investment related: yes, Location of the business: 370 Park Ave PHW New York, NY 10065 United States; Responsibilities Duties: assist with private placement life insurance (PPLI) and private placement variable annuity (PPVA) activity ;Start date with business: 2025-06-23; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No;

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AR
ALTAR ROCK

ALTAR ROCK | ALTAR ROCK LLC

CRD#: 326868 / SEC#: 801-134664
RIA
Registered Investment Advisory firm - SEC (11/18/2025 Approved)
Massachusetts
Registered Investment Advisory firm - Massachusetts (12/8/2025 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (2/3/2026 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2011About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2013About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#