Hasmukh D. Parikh
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.
Hasmukh Dolchand Parikh was a registered financial professional .
Hasmukh is a previously registered financial professional and started their career in finance in 1975. Hasmukh had worked at 8 firms and has passed the Series 5, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1986 - February 18, 1987
YORK SECURITIES, INC.
October 15, 1984 - July 23, 1987
PARIKH SECURITIES
July 25, 1983 - April 20, 1989
WHITEHALL SECURITIES, INC.
October 28, 1982 - July 28, 1983
STATEN SECURITIES CORPORATION
January 17, 1980 - January 19, 1982
LEHMAN BROTHERS INC.
January 25, 1979 - December 30, 1979
CHRIS SECURITIES INC.
February 24, 1977 - July 8, 1980
BOWLING GREEN SECURITIES, INC.
June 4, 1975 - August 6, 1976
FORESTERS FINANCIAL SERVICES, INC.
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 5/28/1975
Registered Representative ExaminationCurrent Firm
YORK SECURITIES, INC.
CRD#: 8056 / SEC#: , 8-24126
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
