Anil 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.
Anil Gupta was a registered financial professional .
Anil is a previously registered financial professional and started their career in finance in 2008. Anil had worked at 3 firms and has passed the Series 65, Series 63, Series 86, Series 87 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 7, 2010 - September 27, 2012
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
April 13, 2010 - September 27, 2012
IMPERIAL CAPITAL, LLC
March 12, 2008 - April 13, 2010
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Exams
Current Firm
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
CRD#: 108258 / SEC#: 801-67961
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 393,743,621 |
Red Flags
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