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Anirban Dasgupta

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CRD#: 5163967
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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.

Anirban Dasgupta was a registered financial professional .

Anirban is a previously registered financial professional and started their career in finance in 2007. Anirban had worked at 4 firms and has passed the 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

February 27, 2020 - April 15, 2021

EQUITEQ SECURITIES LLC

BD
CRD#: 283799
New York, NY
Past

March 19, 2019 - February 21, 2020

ALTACCESS SECURITIES COMPANY, L.P.

BD
CRD#: 119441
DALLAS, TX
Past

May 10, 2010 - March 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 28, 2007 - February 17, 2009

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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
Series 63
Date: 6/17/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2007
General Securities Representative Examination

Current Firm

ES
EQUITEQ SECURITIES LLC
EQUITEQ INC. | EQUITEQ SECURITIES LLC

CRD#: 283799 / SEC#: , 8-69767

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
460 Park Avenue South Suite 1102, New York, NY 10016
Mailing Address
460 Park Avenue South Suite 1102, New York, NY 10016
Phone number
(212) 256-1120
Established
Delaware since 08/11/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EQUITEQ INC.SOLE MEMBER
ASARO, PAUL JOSEPHFINOP4243619
FINCKE, GREGCEO6682361
IGNALL, EVAN TODDCCO2039007
JORGENSON, DAVID HAMMONDPRESIDENT4684856

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

EQUITEQ SECURITIES LLC

CRD#: 283799

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