Arindrajit Basak
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.
Arindrajit Basak, who also goes by Jit Basak, was a registered financial professional .
Arindrajit is a previously registered financial professional and started their career in finance in 2013. Arindrajit 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
September 17, 2015 - July 29, 2016
FERGHANA SECURITIES, INC.
December 23, 2013 - September 11, 2015
HEADWATERS BD, 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
Exams
Current Firm
FERGHANA SECURITIES, INC.
CRD#: 43430 / SEC#: , 8-50270
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
