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DG

Devkumar D. Ganguly

Some features on this profile are disabled
CRD#: 5287209
DG

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.

Devkumar Dilip Ganguly, who also goes by Devkumar Ganguly, was a registered financial professional .

Devkumar is a previously registered financial professional and started their career in finance in 2007. Devkumar had worked at 2 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Devkumar Ganguly

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

May 10, 2012 - September 13, 2017

CURIAN CLEARING, LLC

BD
CRD#: 132938
DENVER, CO
Past

May 11, 2007 - April 30, 2012

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SANTA MONICA, CA

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

General Industry/Product Exam
RR
SIE
Date: 9/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/10/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CURIAN CLEARING, LLC
BH CLEARING, LLC. | CURIAN CLEARING, LLC

CRD#: 132938 / SEC#: , 8-66660

BD
Terminated by SEC on 09/11/2017
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 07/29/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JACKSON NATIONAL LIFE INSURANCE COMPANYOWNER
COLLINS, MAURA KATHRYNSVP, CFO4761732
HAJDU, ROBERT WILLIAMSENIOR VICE PRESIDENT4769897
HARRIS, BRADLEY OLANDIRECTOR6589930
LOWRY, KRISTINE MARIEFINOP, VP, CONTROLLER4168279
MANDICH, MARK BERNARDDIRECTOR4352167
MILLER, JAMES PETERPRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER1955960
MYERS, PAUL CHADWICKDIRECTOR1863982
WETHERELL, WESTON BARTLEYSVP, GENERAL COUNSEL1172113
WRIGHT, DANIEL EUGENESVP, CHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event1

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

CURIAN CLEARING, LLC

CRD#: 132938

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