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AS

Amit A Sardar

INTE SECURITIES
BOCA RATON, FL
·CRD# 5319867·19 years experience

Professional Summary

Amit A Sardar is a registered financial advisor currently at INTE SECURITIES LLC located in Boca Raton, Florida. Amit is registered as a RR (Registered Representative) and started their career in finance in 2007. Amit has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

19 years in the financial services industry

Current & Past Employments

Current

INTE SECURITIES LLCCurrent·CRD# 47107
BD
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
July 15, 2021 - Present

Past

TORINO CAPITAL LLCPast·CRD# 157525
BD
New York, NY
April 2, 2019 - June 30, 2021
NOMURA SECURITIES INTERNATIONAL, INC.Past·CRD# 4297
BD
New York, NY
November 1, 2016 - April 12, 2018
COMMERZ MARKETS LLCPast·CRD# 41957
BD
New York, NY
October 22, 2015 - November 1, 2016
NOMURA SECURITIES INTERNATIONAL, INC.Past·CRD# 4297
BD
New York, NY
December 17, 2014 - October 30, 2015
DEUTSCHE BANK SECURITIES INC.Past·CRD# 2525
BD
New York, NY
May 23, 2007 - June 5, 2014

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Current Firm

IS
INTE SECURITIES LLC

EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: 8-51667
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Mailing Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Phone Number

(212) 897-1694

Established

Florida since 08/14/2018

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
IBARRA, DANIEL STUARTCO-CCO2268659
OBSBAUM, FREDRIC MICHAELCEO / CFO / CO-CCO1160811

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(7/15/2021)
RR
New York
(7/15/2021)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2007About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2007About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Amit A Sardar's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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