Gautam Borooah
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.
Gautam Borooah was a registered financial professional .
Gautam is a previously registered financial professional and started their career in finance in 2007. Gautam had worked at 3 firms and has passed the SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - September 23, 2016
CITI ORDER ROUTING AND EXECUTION, LLC
July 2, 2012 - November 18, 2014
VIRTU AMERICAS LLC
October 30, 2007 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
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: 3/7/2008
Limited Representative-Equity Trader ExamCurrent Firm
CITI ORDER ROUTING AND EXECUTION, LLC
CRD#: 103768 / SEC#: , 8-52261
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS, INC. | OWNER | |
| ARNOLD, EDWARD RAYMOND | CHIEF COMPLIANCE OFFICER | 1876464 |
| FASANO, THOMAS JAMES | CO-PRESIDENT, GENERAL SECURITIES PRINCIPAL | 1354608 |
| GATELY, TIMOTHY HUGH | DIRECTOR | 2570328 |
| MOGILEVSKY, CHARLES ROBERT | PRINCIPAL OPERATIONS OFFICER | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF EXECUTIVE OFFICER | 1712540 |
| SALIBA, RAMSEY | PRINCIPAL FINANCIAL OFFICER / FINOP | 5358958 |
| WINCHESTER, J SLADE | CO-PRESIDENT, OPTIONS PRINCIPAL | 1762956 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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