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AG

Anup Goel

Some features on this profile are disabled
CRD#: 5015814
AG

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.

Anup Goel was a registered financial professional .

Anup is a previously registered financial professional and started their career in finance in 2005. Anup had worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 13, 2015 - October 11, 2016

BEL AIR SECURITIES LLC

BD
CRD#: 134953
San Francisco, CA
Past

December 9, 2005 - February 20, 2007

SVB ALLIANT

BD
CRD#: 121455
PALO ALTO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2015
General Securities Representative Examination

Current Firm

BA
BEL AIR SECURITIES LLC
BEL AIR SECURITIES LLC

CRD#: 134953 / SEC#: , 8-66875

BD
Terminated by SEC on 10/30/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/09/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIERA US HOLDING INC.SOLE MEMBER
DANA, DEBORAH LYNNAML OFFICER/COO2427640
HALLADAY, REED ELMOCHIEF COMPLIANCE OFFICER832677
SHUMBERG, IVANA MFINANCE AND OPERATIONS PRINCIPAL3167225

Red Flags

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.

Company Information

BEL AIR SECURITIES LLC

CRD#: 134953

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