AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
VH

Vinodkumar Harwani

Some features on this profile are disabled
CRD#: 7720429
VH

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.

Vinodkumar Harwani was a registered financial professional .

Vinodkumar is a previously registered financial professional and started their career in finance in 2023. Vinodkumar had worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 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.

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

April 21, 2023 - December 19, 2025

KOTAK MAHINDRA, INC.

BD
CRD#: 47251
NEW YORK, NY

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: 5/1/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/21/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/10/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2025
General Securities Principal Examination

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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOTAK MAHINDRA BANK LIMITEDSHAREHOLDER
KOTAK MAHINDRA CAPITAL COMPANYSHAREHOLDER
DHRUV, PAYAL NIRISHCHIEF COMPLIANCE OFFICER5467742
FULVIO, GENNARO JOHNPRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2435828
FULVIO, GENNARO JOHNFINOP/CFO2435828
JOSEPH, GIJO NMNPRESIDENT, CEO, DIRECTOR5949875
KOTAK MAHINDRA INTERNATIONAL LTD.SHAREHOLDER
NO LAST NAME, KRISHNAN RAMCHANDRANDIRECTOR8058651
SYAMASUNDARAN, SHYAM KUMARDIRECTOR4571814

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

KOTAK MAHINDRA, INC.

CRD#: 47251

TRUST BUT VERIFY

Monitor Vinodkumar Harwani

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.