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FIRM PROFILE
Overview
CHARDAN CAPITAL MARKETS LLC is located at 1 Pennsylvania Plaza Suite 4800, New York, NY 10119 and was first established at New York, New York in 03/05/2001. After operating for 25 years, CHARDAN CAPITAL MARKETS LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CHARDAN CAPITAL MARKETS LLC’s clients are individuals and 0% of their clients are high net worth individuals. CHARDAN CAPITAL MARKETS LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CHARDAN CAPITAL MARKETS LLC are registered to handle securities or provide financial advice. The firm has 14 disclosures, 14 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CHARDAN CAPITAL MARKETS LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CHARDAN CAPITAL MARKETS LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CHARDAN CAPITAL MARKETS LLC Comes From
Understanding the Statistics for CHARDAN CAPITAL MARKETS LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Small
(646) 465-9000
New York since 03/05/2001
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | ||
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 | |
| MILLER, ANDREW DAVID | FINOP | 5106774 | |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 | |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 | |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 | |
| URBACH, STEVEN AARON | CEO | 4137317 |
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Advisor's working at CHARDAN CAPITAL MARKETS LLC
Madeline Elizabeth Thompson
Guy Michael Barudin
Michael Edwin Marrus
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