Jason P. Gupta
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.
Jason Paul Gupta, who also goes by Jason Gupta, was a registered financial advisor .
Jason is a previously registered financial advisor and started their career in finance in 2008. Jason had worked at 2 firms and has passed the Series 63, Series 65 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
May 1, 2009 - December 11, 2009
MARWOOD GROUP
February 3, 2009 - May 1, 2009
MARWOOD GROUP RESEARCH
October 8, 2008 - April 30, 2009
MARWOOD GROUP
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
Current Firm
MARWOOD GROUP
CRD#: 117015 / SEC#: , 8-53573
Contact information
FINRA licenses (4 States and Territories)
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.
