Gaurav Mittal
Professional summary
Gaurav Mittal, CIMA®, who also goes by Gaurav K Mittal, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Jersey City, New Jersey.
Gaurav is registered as a RR (Registered Representative) and started their career in finance in 2010. Gaurav has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gaurav Mittal's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 575 Washington Blvd, Jersey City, NJ 07310October 25, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2012)
(1/3/2012)
(1/3/2012)
(8/6/2018)
(1/3/2024)
(1/3/2012)
(1/3/2012)
(1/25/2023)
(3/28/2011)
(1/3/2012)
(1/3/2012)
Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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