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AC

Alok R. Chokhani

AXIS CAPITAL USA
Mumbai,
Some features on this profile are disabled
CRD#: 6916939
AC

Professional summary

Alok Rajkumar Chokhani is a registered financial professional currently at AXIS CAPITAL USA, LLC .

Alok is registered as a RR (Registered Representative) and started their career in finance in 2019. Alok has worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Alok Rajkumar Chokhani'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

November 26, 2025 - Present

AXIS CAPITAL USA, LLC

Office #2: 405 Lexington Ave Suite 714, New York, NY 10174
BD
CRD#: 293368
Mumbai,
Past

November 7, 2022 - October 31, 2025

DAM CAPITAL (USA) INC.

BD
CRD#: 154945
NEW YORK, NY
Past

May 15, 2019 - June 17, 2022

AXIS CAPITAL USA, LLC

BD
CRD#: 293368
NEW YORK, 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
New York
(11/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/19/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AXIS CAPITAL USA, LLC
AXIS CAPITAL USA, LLC

CRD#: 293368 / SEC#: , 8-70083

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
405 Lexington Avenue Suite 714, New York, NY 10174
Mailing Address
405 Lexington Avenue Suite 714, New York, NY 10174
Phone number
(636) 675-3746
Established
Delaware since 08/02/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AXIS CAPITAL LIMITEDOWNER
BASKETT, ERIN ELAINEPRINCIPAL4538604
CHOKHANI, ALOK RAJKUMARCEO6916939
GRAY, JOHN CLARKEFINOP / CFO / PFO1367440
SMITH, LISA LCCO2691076

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

AXIS CAPITAL USA, LLC

CRD#: 293368Mumbai

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