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PD

Pranay Dureja

NASDAQ CAPITAL MARKETS ADVISORY LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 7260754
PD

Professional summary

Pranay Dureja is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York.

Pranay is registered as a RR (Registered Representative) and started their career in finance in 2021. Pranay has worked at 2 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.

top-8-questions

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 name of the other business; Studio Suzuki whether the business is investment-related; No the address of the other business; West Windsor, NJ the nature of the other business; Small Record Label for Musical Artists your position; Partner title, or relationship with the other business; Co-Founder the start date of your relationship; December, 2018 the approximate number of hours/month you devote to the other business; 4 hours/month the number of hours you devote to the other business during securities trading hours; 0 hours/month and briefly describe your duties relating to the other business; Promote and distribute small local artists' music

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pranay Dureja'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

February 11, 2025 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 151 West 42nd Street, New York, NY 10036
BD
CRD#: 104295
New York, NY
Past

September 15, 2021 - October 2, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

August 27, 2021 - October 2, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
California
(2/11/2025)
RR
New York
(2/11/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/27/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/27/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

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

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295New York, NY 10036

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