Josh Mukherjee
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.
Josh Mukherjee was a registered financial professional .
Josh is a previously registered financial professional and started their career in finance in 2024. Josh had worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2024 - November 12, 2025
JAG TRADING L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/30/2024
General Securities Representative ExaminationCurrent Firm
JAG TRADING L.L.C.
CRD#: 114061 / SEC#: , 8-53408
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAUER, CRAIG EVAN | MANAGING MEMBER, CCO | 4422849 |
| BAUER, ALANA ZORN | INVESTING MEMBER | |
| SLOAN, JACQUELINE LEE | FINANCIAL & OPERATIONS PRINCIPAL |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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