Kaartik 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.
Kaartik Jain was a registered financial professional .
Kaartik is a previously registered financial professional and started their career in finance in 2019. Kaartik had worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - March 25, 2025
N.A. INVESTCORP LLC
March 30, 2021 - December 26, 2021
CREDIT SUISSE SECURITIES (USA) LLC
November 11, 2019 - March 16, 2021
ALANTRA, 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 79TO
Date: 11/11/2019
Investment Banking Registered Representative ExaminationCurrent Firm
N.A. INVESTCORP LLC
CRD#: 134162 / SEC#: , 8-66812
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTCORP INTERNATIONAL HOLDINGS, INC. | SHAREHOLDER | |
| GOLDCHAIN, SCOTT DAVID | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3276936 |
| MURPHY, BRIAN JOSEPH | SECRETARY | 1720020 |
| QASIMI, SAMI | CHIEF COMPLIANCE OFFICER | 5640450 |
| SHEA, PATRICK OFARRELL | HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL | 838154 |
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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