Nipun Malik
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.
Nipun Malik was a registered financial professional .
Nipun is a previously registered financial professional and started their career in finance in 2018. Nipun had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2018 - July 1, 2019
KOTAK MAHINDRA, INC.
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
KOTAK MAHINDRA, INC.
CRD#: 47251 / SEC#: , 8-51740
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOTAK MAHINDRA BANK LIMITED | SHAREHOLDER | |
| KOTAK MAHINDRA CAPITAL COMPANY | SHAREHOLDER | |
| DHRUV, PAYAL NIRISH | CHIEF COMPLIANCE OFFICER | 5467742 |
| FULVIO, GENNARO JOHN | PRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2435828 |
| FULVIO, GENNARO JOHN | FINOP/CFO | 2435828 |
| JOSEPH, GIJO NMN | PRESIDENT, CEO, DIRECTOR | 5949875 |
| KOTAK MAHINDRA INTERNATIONAL LTD. | SHAREHOLDER | |
| NO LAST NAME, KRISHNAN RAMCHANDRAN | DIRECTOR | 8058651 |
| SYAMASUNDARAN, SHYAM KUMAR | DIRECTOR | 4571814 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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