Gaurav Kumar
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.
Gaurav Kumar was a registered financial professional .
Gaurav is a previously registered financial professional and started their career in finance in 2012. Gaurav had worked at 4 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 3, Series 55, Series 7 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
July 31, 2024 - May 2, 2025
IMC SECURITIES LLC
August 16, 2019 - April 29, 2021
IMC FINANCIAL MARKETS
January 6, 2014 - August 9, 2019
GOLDMAN SACHS & CO. LLC
August 14, 2012 - August 7, 2013
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/18/2023
General Securities Representative ExaminationSeries 57TO
Date: 10/18/2023
Securities Trader ExamSeries 55
Date: 8/28/2015
Limited Representative-Equity Trader ExamCurrent Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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