Alok R. Chokhani
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.
Alok Rajkumar Chokhani was a registered financial professional .
Alok is a previously registered financial professional and started their career in finance in 2019. Alok had worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2022 - October 31, 2025
DAM CAPITAL (USA) INC.
May 15, 2019 - June 17, 2022
AXIS CAPITAL USA, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/17/2019
General Securities Representative ExaminationCurrent Firm
DAM CAPITAL (USA) INC.
CRD#: 154945 / SEC#: , 8-68685
Contact information
FINRA licenses (11 States and Territories)
Documents
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.
