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DEEPAK SHIVAKUMAR ALUR
DEEPAK S ALUR
CRD#: 3139994
IA
B
M HOLDINGS SECURITIES, INC.CRD#: 43285 266 MAIN STREET
MADISON, NJ 07940
MADISON, NJ 07940
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1/27/2009
Customer Dispute
Denied
State Registrations
B
California 10/29/2010
IA
New Jersey 10/29/2010
B
Connecticut 10/29/2010
B
New Mexico 3/22/2024
B
Florida 10/29/2010
B
New York 10/29/2010
B
Illinois 10/29/2010
B
Pennsylvania 10/29/2010
B
Kentucky 10/29/2010
B
Puerto Rico 12/18/2024
B
Maryland 10/29/2010
B
South Dakota 2/7/2025
B
Massachusetts 11/1/2010
B
Texas 10/29/2010
B
Michigan 10/29/2010
B
Washington 10/30/2024
B
New Jersey 10/29/2010
SRO Registrations
B
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B
Registered with this firm since 10/29/2010
IA
Registered with this firm since 10/29/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2008 - 11/01/2010 | NEW YORK, NY | |
B | 08/01/2008 - 11/01/2010 | NEW YORK, NY | |
IA | 08/10/2007 - 08/01/2008 | NEW YORK, NY | |
B | 10/27/1998 - 08/01/2008 | 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.