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Detailed Report
DIVESH KANTHYLAL MAKAN
CRD#: 4447669
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Investment Adviser
ICONIQ CAPITAL, LLCCRD#: 159198 50 BEALE ST.
STE 2300
SAN FRANCISCO, CA 94105
Registration History
2008201020122014201620182020202220242026IAICONIQ CAPITAL, LLC (CRD# 159198)2011 - Present (13 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2011 (2 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)
Disclosure(s)
View By:
3/20/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

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California 12/1/2011
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Texas 12/1/2011
Current Registration(s)
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ICONIQ CAPITAL, LLC (CRD#:159198)
50 BEALE ST. STE 2300, SAN FRANCISCO, CA 94105
Registered with this firm since 12/1/2011
Previous Registration(s)
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 06/01/2009 - 12/21/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN FRANCISCO, CA
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 12/01/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
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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.
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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
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.