Arka A. Ghosh
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.
Arka A Ghosh, who also goes by Arka A Ghosh, Arka Ashok Ghosh, Ronnie Ashok Ghosh, was a registered financial professional .
Arka is a previously registered financial professional and started their career in finance in 2008. Arka had worked at 5 firms and has passed the Series 63, 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 10, 2014 - November 17, 2014
GEORGE K. BAUM & COMPANY
September 21, 2010 - October 3, 2011
ADVISORS ASSET MANAGEMENT, INC.
December 7, 2009 - February 24, 2010
COHEN & COMPANY SECURITIES, LLC
August 12, 2009 - December 14, 2009
GLEACHER & COMPANY SECURITIES, INC.
April 17, 2008 - August 12, 2009
NATIXIS SECURITIES NORTH AMERICA INC.
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
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
