Kaustubh Wahal
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.
Kaustubh Wahal was a registered financial professional .
Kaustubh is a previously registered financial professional and started their career in finance in 2007. Kaustubh had worked at 7 firms and has passed the Series 63, Series 79TO, SIE 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 14, 2021 - November 19, 2022
H2C SECURITIES INC.
August 29, 2019 - October 14, 2020
MUFG SECURITIES AMERICAS INC.
August 30, 2016 - February 24, 2020
MUFG AMERICAS CORPORATE ADVISORY, INC.
October 13, 2010 - June 21, 2016
UBS SECURITIES LLC
December 4, 2009 - September 16, 2010
LAZARD FRERES & CO. LLC
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
September 12, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
H2C SECURITIES INC.
CRD#: 7169 / SEC#: , 8-19993
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DONOVAN, KIMBERLY | CHIEF COMPLIANCE OFFICER | 4586476 |
Disclosures
| Regulatory Event | 2 |
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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