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DT

Dharmesh K. Thakkar

Some features on this profile are disabled
CRD#: 7490595
DT

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.

Dharmesh K Thakkar was a registered financial professional .

Dharmesh is a previously registered financial professional and started their career in finance in 2022. Dharmesh had worked at 2 firms and has passed the Series 63, Series 79TO 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 8, 2023 - September 23, 2025

GREENHILL & CO., LLC

BD
CRD#: 40290
CHICAGO, IL
Past

April 4, 2022 - September 8, 2023

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/4/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/29/2022
Securities Industry Essentials Examination

Current Firm

G&
GREENHILL & CO., LLC
GREENHILL & CO., LLC

CRD#: 40290 / SEC#: , 8-49000

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

Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 389-1500
Established
New York since 01/19/1996
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GREENHILL & CO., INC.OWNER
DALY, BRENDAN GERARDCHIEF COMPLIANCE OFFICER1823142
FALEIRO, GITANJALI PINTOGENERAL COUNSEL4250865
KATZ, MICHALMANGING DIRECTOR - HEAD OF INVESTMENT BANKING2813944
LASKY, MARK RICHARDCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP6005542
MIZUHO SECURITIES USA LLCMANAGER19647
RIZZIERI, GERALD ANTHONYCHIEF EXECUTIVE OFFICER1751181

Disclosures

Regulatory Event1

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

GREENHILL & CO., LLC

CRD#: 40290

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