Amit K. 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.
Amit Kumar Gupta was a registered financial professional .
Amit is a previously registered financial professional and started their career in finance in 2013. Amit had worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 62 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
August 29, 2023 - November 13, 2024
CHIRON SECURITIES LLC
September 25, 2019 - July 21, 2023
GT SECURITIES, INC.
September 24, 2018 - September 26, 2019
INDEPENDENT INVESTMENT BANKERS, CORP.
June 9, 2015 - July 31, 2018
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
July 22, 2013 - May 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 82TO
Date: 12/20/2023
Limited Representative-Private Securities OfferingsSeries 62
Date: 2/5/2016
Corporate Securities Limited Representative ExaminationCurrent Firm
CHIRON SECURITIES LLC
CRD#: 30041 / SEC#: , 8-44665
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSON, SCOTT WILLIAM | MANAGING DIRECTOR/PRESIDENT/TREASURER/SECRETARY/CHIEF COMPLIANCE OFFICER/PFO/POO | 703690 |
Red Flags
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