PS
Puneet Shivam
AVENDUS CAPITAL
New York, NY 10022
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CRD#: 5663247
PS
Professional summary
Puneet Shivam is a registered financial advisor currently at AVENDUS CAPITAL, INC. located in New York, New York.
Puneet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Puneet has worked at 1 firm and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Puneet Shivam's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Puneet Shivam's 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®
NoneExperience
Current
August 29, 2025 - Present
AVENDUS CAPITAL, INC.
Office #1: 445 Park Avenue 19th Floor, New York, NY 10022RIA
BD
CRD#: 150160
New York, NY
Current
August 29, 2025 - Present
AVENDUS CAPITAL, INC.
Office #1: 445 Park Avenue 19th Floor, New York, NY 10022RIA
BD
CRD#: 150160
New York, NY
Past
November 28, 2012 - January 7, 2025
AVENDUS CAPITAL, INC.
RIA
CRD#: 150160
NEW YORK, NY
Past
September 14, 2010 - January 7, 2025
AVENDUS CAPITAL, INC.
BD
CRD#: 150160
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/29/2025)
RR
Connecticut(8/29/2025)
RR
Delaware(8/29/2025)
RR
Georgia(8/29/2025)
RR
Maryland(8/29/2025)
RR
Massachusetts(8/29/2025)
RR
New Jersey(8/29/2025)
RR
New York(8/29/2025)
IAR
New York(8/29/2025)
RR
Ohio(9/2/2025)
RR
Pennsylvania(8/29/2025)
RR
Texas(8/29/2025)
RR
Virginia(8/29/2025)
RR
Washington(8/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AVENDUS CAPITAL, INC.
AVENDUS CAPITAL, INC.
CRD#: 150160 / SEC#: , 8-68226
California
Registered Investment Advisory firm - SEC (6/1/2025 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/19/2025 Terminated)New York
Registered Investment Advisory firm - SEC (10/2/2012 Approved)Texas
Registered Investment Advisory firm - SEC (5/2/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
445 Park Avenue 19th Floor 19th Floor, New York, NY 10022
Mailing Address
445 Park Avenue 19th Floor, New York, NY 10022
Phone number
(646) 707-0789
Established
Delaware since 12/21/2007
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
5
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1997 REDDY FAMILY TRUST | SHAREHOLDER | |
| CHADHA, JASWINDER SINGH | SHAREHOLDER | 6668336 |
| DUGGAL, ANURADHA | SHAREHOLDER | 6668334 |
| GKP REDDI GST TRUST | SHAREHOLDER | |
| AVENDUS CAPITAL PRIVATE LTD. | OWNER | |
| BEATON, DANIEL STEWART | FINOP/CFO | 4240769 |
| REDDI, ASHWINI P | TRUSTEE, GKP REDDI GST TRUST | 6675629 |
| REDDI, SASHI P | TRUSTEE, GKP REDDI GST TRUST | 6675626 |
| REDDY, GEEREDDY | TRUSTEE, 1997 READDY FAMILY TRUST | 6675639 |
| REDDY, NEERAJA | TRUSTEE, 1997 READDY FAMILY TRUST | 6678900 |
| SHIVAM, PUNEET | PRINCIPAL | 5663247 |
| THORNTON, STEVEN LEE | EXECUTIVE REPRESENTATIVE, CCO, AMLCO AND FINOP/PFO | 4496384 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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