Karan Gupta
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.
Karan Gupta was a registered financial professional .
Karan is a previously registered financial professional and started their career in finance in 2017. Karan had worked at 9 firms and has passed the SIE, Series 7, Series 57 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2023 - May 6, 2026
CLSA AMERICAS, LLC
September 5, 2023 - May 6, 2026
CITIC SECURITIES INTERNATIONAL USA, LLC
May 31, 2022 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
May 31, 2022 - June 30, 2023
ICAP SECURITIES USA LLC
May 31, 2022 - September 6, 2023
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 31, 2022 - September 6, 2023
LIQUIDNET, INC.
April 24, 2019 - May 18, 2022
SANFORD C. BERNSTEIN & CO., LLC
February 2, 2017 - February 15, 2018
MATRIX EXECUTIONS, LLC
February 2, 2017 - February 13, 2019
VIRTU ITG LLC
State Registrations and Notice Filings
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Exams
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
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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