Anuj Goswamy
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.
Anuj Goswamy was a registered financial professional .
Anuj is a previously registered financial professional and started their career in finance in 2010. Anuj had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - May 4, 2026
ICAPITAL MARKETS LLC
March 19, 2020 - November 30, 2023
ICAPITAL SECURITIES, LLC
December 14, 2011 - March 10, 2020
NEUBERGER BERMAN BD LLC
September 3, 2010 - March 10, 2020
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
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Exams
Current Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
