Shamik Chakraborty
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.
Shamik Chakraborty was a registered financial professional .
Shamik is a previously registered financial professional and started their career in finance in 2008. Shamik had worked at 4 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
July 17, 2015 - February 26, 2016
YOSEMITE EXECUTION PARTNERS INC.
December 20, 2012 - June 7, 2013
ELARA SECURITIES, INC.
October 5, 2010 - May 24, 2012
UBS SECURITIES LLC
August 19, 2008 - March 8, 2010
DEUTSCHE BANK SECURITIES 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
YOSEMITE EXECUTION PARTNERS INC.
CRD#: 165587 / SEC#: , 8-69173
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
