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SANJIV KUMAR JASWAL
CRD#: 2460160
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 360 HAMILTON AVE
9TH FLOOR
WHITE PLAINS, NY 10601
9TH FLOOR
WHITE PLAINS, NY 10601
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6/5/2018
Financial
Final
6/5/2018
Financial
Final
6/5/2018
Financial
Final
6/5/2018
Financial
Final
State Registrations
B
Arizona 11/14/2024
B
Massachusetts 11/14/2024
B
California 11/14/2024
B
Nevada 11/14/2024
B
Connecticut 11/14/2024
B
New Jersey 11/14/2024
IA
Connecticut 11/14/2024
B
New York 11/14/2024
B
Florida 11/18/2024
IA
New York 11/14/2024
B
Georgia 11/14/2024
B
Ohio 11/14/2024
B
Kansas 11/14/2024
B
Pennsylvania 11/14/2024
B
Louisiana 11/14/2024
B
Virginia 11/14/2024
B
Maryland 11/14/2024
B
Washington 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2019 - 11/14/2024 | White Plains, NY | |
B | 02/19/2013 - 11/14/2024 | White Plains, NY | |
B | 11/18/2010 - 01/03/2013 | NEW YORK, NY | |
B | 10/30/2006 - 02/17/2010 | NEW YORK, NY | |
B | 12/09/2002 - 10/19/2006 | NEW YORK, NY | |
B | 06/29/1998 - 09/17/2001 | NEW YORK, NY | |
B | 09/02/1997 - 06/29/1998 | STAMFORD, CT | |
B | 06/03/1996 - 09/02/1997 | NEW YORK, NY | |
B | 04/05/1994 - 06/03/1996 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.