VH
Vinodkumar Harwani
KOTAK MAHINDRA
NEW YORK, NY 10119
Some features on this profile are disabled
CRD#: 7720429
VH
Professional summary
Vinodkumar Harwani is a registered financial professional currently at KOTAK MAHINDRA, INC. located in New York, New York.
Vinodkumar is registered as a RR (Registered Representative) and started their career in finance in 2023. Vinodkumar has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Vinodkumar Harwani'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®
NoneExperience
Current
April 21, 2023 - Present
KOTAK MAHINDRA, INC.
Office #1: Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119BD
CRD#: 47251
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
Arizona(5/1/2023)
RR
California(5/1/2023)
RR
Colorado(5/1/2023)
RR
Connecticut(5/1/2023)
RR
Delaware(5/1/2023)
RR
District of Columbia(5/1/2023)
RR
Florida(5/1/2023)
RR
Georgia(5/1/2023)
RR
Idaho(5/1/2023)
RR
Illinois(5/1/2023)
RR
Indiana(5/1/2023)
RR
Massachusetts(5/1/2023)
RR
Michigan(5/1/2023)
RR
Minnesota(5/1/2023)
RR
Nevada(5/1/2023)
RR
New Jersey(5/1/2023)
RR
New York(5/1/2023)
RR
North Carolina(6/21/2023)
RR
Ohio(5/1/2023)
RR
Oklahoma(5/1/2023)
RR
Oregon(5/1/2023)
RR
Pennsylvania(5/1/2023)
RR
Rhode Island(5/1/2023)
RR
South Carolina(5/1/2023)
RR
Texas(5/1/2023)
RR
Virginia(5/1/2023)
RR
Washington(5/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/21/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KM
KOTAK MAHINDRA, INC.
KOTAK MAHINDRA, INC.
CRD#: 47251 / SEC#: , 8-51740
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119
Mailing Address
Penn1 1 Pennsylvania Plaza Suite 1720, New York, NY, 10119
Phone number
(212) 600-8850
Established
Delaware since 06/23/1998
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOTAK MAHINDRA BANK LIMITED | SHAREHOLDER | |
| KOTAK MAHINDRA CAPITAL COMPANY | SHAREHOLDER | |
| DHRUV, PAYAL NIRISH | CHIEF COMPLIANCE OFFICER | 5467742 |
| FULVIO, GENNARO JOHN | PRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2435828 |
| FULVIO, GENNARO JOHN | FINOP/CFO | 2435828 |
| JOSEPH, GIJO NMN | PRESIDENT, CEO, DIRECTOR | 5949875 |
| KOTAK MAHINDRA INTERNATIONAL LTD. | SHAREHOLDER | |
| NO LAST NAME, KRISHNAN RAMCHANDRAN | DIRECTOR | 8058651 |
| SYAMASUNDARAN, SHYAM KUMAR | DIRECTOR | 4571814 |
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.
