Anish M Vora
Professional Summary
Anish M Vora, who also goes by Anish Mahendra Vora, is a registered financial advisor currently at CASEY SECURITIES LLC located in Greenbrae, California and HAMILTON EXECUTIONS LLC located in New York, New York. Anish is registered as a RR (Registered Representative) and started their career in finance in 2008. Anish has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 86, Series 87, Series 7, Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anish Mahendra Vora
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
Years of Experience
18 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
Current Firm
HAMILTON EXECUTIONS L.L.C. | R.A.P. EXECUTIONS LLC | HAMILTON EXECUTIONS LLC
Contact Information
Main Address
11 Wall Street, New York, NY 10005Mailing Address
11 Wall Street, New York, NY 10005Phone Number
(212) 306-2101Established
Delaware since 06/23/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FCF GROUP INTERMEDIATE HOLDINGS II LLC | OWNER | — |
| FUNARO, JOSEPH NMN | OWNER-GSP | 4340219 |
| PALADINO, ARTHUR NMN | OWNER - GSP | 1927987 |
| RUSH, DAVID ELLIOT | OWNER | 2889292 |
| VENTO, ANDREW PAUL | OWNER | 5153789 |
| POSTREL, HELENE BERSON | FINOP | 2240945 |
| VORA, ANISH M | CHIEF EXECUTIVE OFFICER | 5466748 |
| WONG, WILLIE L | CHIEF COMPLIANCE OFFICER | 4170997 |
Disclosures
Regulatory Event
3Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
Other business activities
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jan 2008About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Anish M Vora's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
IMPACT INVESTORS
A. T. BROD & CO. INC.
WELLS FARGO SECURITIES, LLC
