Rohit G. Vanjani
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.
Rohit Govind Vanjani, who also goes by Rohit Vanjani, was a registered financial professional .
Rohit is a previously registered financial professional and started their career in finance in 2007. Rohit had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86 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
March 12, 2020 - May 15, 2020
CHARDAN CAPITAL MARKETS LLC
August 8, 2017 - June 26, 2018
GUGGENHEIM SECURITIES, LLC
June 28, 2011 - September 16, 2016
OPPENHEIMER & CO. INC.
August 19, 2010 - May 6, 2011
JEFFERIES LLC
May 29, 2009 - April 15, 2010
UBS SECURITIES LLC
November 24, 2008 - March 23, 2009
STANFORD GROUP COMPANY
May 23, 2008 - November 10, 2008
MACQUARIE CAPITAL (USA) INC.
March 6, 2007 - February 5, 2008
LEERINK PARTNERS 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
Exams
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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