Kavirath Jain
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.
Kavirath Jain, who also goes by Kavi Jain, Kavirath Jain, was a registered financial professional .
Kavirath is a previously registered financial professional and started their career in finance in 2018. Kavirath had worked at 2 firms and has passed the Series 7TO, Series 57TO, SIE and Series 57 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2024 - July 2, 2026
TOWER PRINCIPAL MARKETS LLC
September 17, 2018 - March 16, 2021
CITADEL SECURITIES 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
Series 7TO
Date: 12/11/2023
General Securities Representative ExaminationSeries 57TO
Date: 12/11/2023
Securities Trader ExamCurrent Firm
TOWER PRINCIPAL MARKETS LLC
CRD#: 319604 / SEC#: , 8-70919
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
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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