Rohit Thapliyal
Professional summary
Rohit Thapliyal is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.
Rohit is registered as a RR (Registered Representative) and started their career in finance in 2009. Rohit has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rohit Thapliyal's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2023 - Present
ACADEMY SECURITIES, INC.
Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017July 14, 2023 - October 16, 2023
R. SEELAUS & CO., LLC
September 22, 2009 - June 20, 2023
CITIGROUP GLOBAL MARKETS 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
(10/23/2023)
Exams
FINRA
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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