Akshay A. D'souza
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.
Akshay Andrew D'souza was a registered financial professional .
Akshay is a previously registered financial professional and started their career in finance in 2007. Akshay had worked at 5 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2015 - February 12, 2018
LAURENTIAN CAPITAL (USA) INC
July 19, 2013 - February 25, 2015
RBC CAPITAL MARKETS, LLC
August 29, 2011 - May 17, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 26, 2010 - July 18, 2011
WELLINGTON WEST CAPITAL MARKETS (USA) INC.
January 1, 2007 - December 31, 2009
RICHARDSON GMP (USA) CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 37
Date: 12/22/2006
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
LAURENTIAN CAPITAL (USA) INC
CRD#: 171211 / SEC#: , 8-69450
Contact information
Documents
Direct owners and executive officers
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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