Kunal S. Doshi
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.
Kunal Sudhir Doshi, who also goes by Kunal Doshi, was a registered financial professional .
Kunal is a previously registered financial professional and started their career in finance in 2011. Kunal had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - June 16, 2015
NOMURA GREENTECH CAPITAL ADVISORS, LLC
October 10, 2011 - October 25, 2012
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
Exams
Current Firm
NOMURA GREENTECH CAPITAL ADVISORS, LLC
CRD#: 149644 / SEC#: , 8-68158
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDINGS INC | PARENT COMPANY | |
| DELPUERTO, FERNANDO JAVIER | CHIEF COMPLIANCE OFFICER | 3168661 |
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.
