AC
Anup V. Chokshi
CANACCORD GENUITY WEALTH MANAGEMENT (USA)
Calgary, T2P 0R3
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CRD#: 5209129
AC
Professional summary
Anup Vinubhai Chokshi is a registered financial professional currently at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. .
Anup is registered as a RR (Registered Representative) and started their career in finance in 2007. Anup has worked at 1 firm and has passed the Series 63, SIE and Series 38 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Anup Vinubhai Chokshi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 27, 2007 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Office #1: Suite 2400 - 520 3rd Avenue Sw, Calgary, T2P 0R3RIA
BD
CRD#: 7449
Calgary,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/24/2012)
RR
California(4/9/2007)
RR
Colorado(1/25/2021)
RR
Delaware(8/17/2021)
RR
Florida(1/21/2011)
RR
Indiana(7/31/2019)
RR
Massachusetts(1/29/2021)
RR
Nebraska(2/9/2021)
RR
Nevada(4/9/2018)
RR
New Jersey(8/25/2023)
RR
New York(1/21/2021)
RR
Ohio(4/23/2022)
RR
Texas(4/9/2007)
RR
Utah(10/24/2025)
RR
Washington(8/24/2022)
RR
Wyoming(4/9/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 2/16/2007
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
Current Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5
Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018
Phone number
(604) 643-7300
Established
Minnesota since 07/06/1976
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
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.
