Jishnu Guha
Professional summary
Jishnu Guha is a registered financial professional currently at PEP ADVISORY LLC located in Houston, Texas.
Jishnu is registered as a RR (Registered Representative) and started their career in finance in 2007. Jishnu has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jishnu Guha's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2023 - Present
PEP ADVISORY LLC
Office #1: 100 Waugh Drive Suite 600, Houston, TX 77007October 3, 2014 - July 20, 2023
RBC CAPITAL MARKETS, LLC
October 22, 2010 - September 18, 2014
J.P. MORGAN SECURITIES LLC
July 15, 2008 - August 3, 2010
MACQUARIE CAPITAL (USA) INC.
October 16, 2007 - June 25, 2008
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/2/2023)
(8/2/2023)
(8/31/2023)
Exams
Series 99TO
Date: 6/25/2024
Operations Professional ExaminationFINRA
Current Firm
PEP ADVISORY LLC
CRD#: 166636 / SEC#: , 8-69224
Contact information
FINRA licenses (25 States and Territories)
Documents
Red Flags
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