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Harshan S. Shanthakumar

OTC LINK LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 7528886
HS

Professional summary

Harshan S Shanthakumar, who also goes by Harshan Shankara Shanthakumar, is a registered financial professional currently at OTC LINK LLC located in New York, New York.

Harshan is registered as a RR (Registered Representative) and started their career in finance in 2023. Harshan has worked at 2 firms and has passed the Series 7TO and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harshan Shankara Shanthakumar

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) - BD

Click below to view Harshan S Shanthakumar'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

July 16, 2024 - Present

OTC LINK LLC

Office #1: 300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
BD
CRD#: 153944
New York, NY
Past

January 25, 2023 - November 20, 2023

STARTENGINE PRIMARY LLC

BD
CRD#: 291773
BURBANK, 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

General Industry/Product Exam
RR
Series 7TO
Date: 1/24/2023
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OTC LINK LLC
OTC LINK LLC | PINK LINK ATS LLC

CRD#: 153944 / SEC#: , 8-68596

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

Main Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
Mailing Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
Phone number
(212) 896-4483
Established
Delaware since 04/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OTC MARKETS GROUP INC.OWNER, MEMBER
JIN, YONGXIANGFINOP6096866
MELLON, JOHN FRANCISCCO4167767
MODESKI, MICHAEL RICHARDPRESIDENT2642602

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

OTC LINK LLC

CRD#: 153944New York, NY 10282

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