Devang K. Doshi
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.
Devang Kishor Doshi, who also goes by Devang Doshi, was a registered financial professional .
Devang is a previously registered financial professional and started their career in finance in 2005. Devang had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 3 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
September 5, 2019 - May 21, 2021
CT COLLATERAL FUNDING, LLC
May 6, 2016 - May 21, 2021
BETHESDA SECURITIES, LLC
October 4, 2005 - November 7, 2012
CITIGROUP GLOBAL MARKETS 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
Exams
Series 55
Date: 11/7/2005
Limited Representative-Equity Trader ExamCurrent Firm
CT COLLATERAL FUNDING, LLC
CRD#: 301312 / SEC#: , 8-70326
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AGNC INVESTMENT CORP | SHAREHOLDER | |
| CARROLL, BRIAN MITCHELL | CFO & CCO | 5016023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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