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AJ

Allen Jaswal

ARC GROUP SECURITIES LLC
Greenbrae, CA 94904
Some features on this profile are disabled
CRD#: 6844149
AJ

Professional summary

Allen Jaswal, who also goes by Aashish Jaswal, is a registered financial professional currently at ARC GROUP SECURITIES LLC located in Greenbrae, California.

Allen is registered as a RR (Registered Representative) and started their career in finance in 2017. Allen has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aashish Jaswal

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allen Jaswal's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 25, 2025 - Present

ARC GROUP SECURITIES LLC

Office #1: 380 Bretano Way, Greenbrae, CA 94904
BD
CRD#: 132026
Greenbrae, CA
Past

April 20, 2023 - February 20, 2025

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
San Francisco, CA
Past

September 1, 2021 - February 23, 2023

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

June 17, 2019 - August 31, 2021

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 7, 2017 - October 11, 2017

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/25/2025)
RR
New York
(8/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/27/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
ARC GROUP SECURITIES LLC
ARC GROUP SECURITIES LLC | OBJECTIVE EQUITY, LLC

CRD#: 132026 / SEC#: , 8-66541

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
380 Bretano Way, Greenbrae, CA 94904
Mailing Address
380 Bretano Way, Greenbrae, CA 94904
Phone number
(212) 334-6365
Established
New York since 04/06/2004
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARC GROUP US HOLDINGS, LLCMEMBER
FLEISCHMAN, SAMUEL JAYCCO1860709
HANNA, IAN LEECEO7922113
MEGENITY, MELANIE PROCTORFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4465319
RIEDEL, DAVIDPRESIDENT/COO2541129

Disclosures

Regulatory Event2

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.

Company Information

ARC GROUP SECURITIES LLC

CRD#: 132026Greenbrae, CA 94904

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