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PD

Payal N. Dhruv

KOTAK MAHINDRA
NEW YORK, NY 10119
Some features on this profile are disabled
CRD#: 5467742
PD

Professional summary

Payal Nirish Dhruv is a registered financial professional currently at KOTAK MAHINDRA, INC. located in New York, New York.

Payal is registered as a RR (Registered Representative) and started their career in finance in 2011. Payal has worked at 1 firm and has passed the Series 99TO, Series 7TO, SIE, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Payal Nirish Dhruv's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 13, 2011 - Present

KOTAK MAHINDRA, INC.

Office #1: Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119Office #2: Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119
BD
CRD#: 47251
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/1/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/11/2011
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KM
KOTAK MAHINDRA, INC.
KOTAK MAHINDRA, INC.

CRD#: 47251 / SEC#: , 8-51740

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119
Mailing Address
Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119
Phone number
(212) 600-8850
Established
Delaware since 06/23/1998
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOTAK MAHINDRA BANK LIMITEDSHAREHOLDER
KOTAK MAHINDRA CAPITAL COMPANYSHAREHOLDER
DHRUV, PAYAL NIRISHCHIEF COMPLIANCE OFFICER5467742
FULVIO, GENNARO JOHNPRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2435828
FULVIO, GENNARO JOHNFINOP/CFO2435828
JOSEPH, GIJO NMNPRESIDENT, CEO, DIRECTOR5949875
KOTAK MAHINDRA INTERNATIONAL LTD.SHAREHOLDER
NO LAST NAME, KRISHNAN RAMCHANDRANDIRECTOR8058651
SYAMASUNDARAN, SHYAM KUMARDIRECTOR4571814

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.

Company Information

KOTAK MAHINDRA, INC.

CRD#: 47251New York, NY 10119

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