Mitchell S. Kapoor
Professional summary
Mitchell Swaroop Kapoor is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2017. Mitchell has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mitchell Swaroop Kapoor's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2021 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022March 5, 2020 - August 12, 2021
BARCLAYS CAPITAL INC.
September 24, 2018 - March 18, 2020
JEFFERIES LLC
May 15, 2018 - September 24, 2018
LEERINK PARTNERS LLC
January 10, 2017 - May 16, 2018
H.C.WAINWRIGHT & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/4/2021)
Exams
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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