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Gautam Ahuja

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Information

Other Names: Gautam Krishna Ahuja
Firm:
Type: Not Actively Registered
Description

Gautam Ahuja is a financial professional at Credit Suisse Securities (USA) LLC, a broker-dealer with over 3,900 registered representatives nationwide. Gautam has held an industry securities registration for less than a year.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Credit Suisse Securities (USA) LLC 13 years, 1 month Jul 2001 - Present
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 06/17/2009
National Commodity Futures ExaminationSeries 3 08/05/2004
Limited Representative-Equity Trader ExamSeries 55 08/19/2003
Uniform Securities Agent State Law ExaminationSeries 63 11/26/2001
General Securities Representative ExaminationSeries 7 11/05/2001

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Gautam Ahuja has not answered any questions on Financial Q&A.

Top Guides

Gautam Ahuja has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Not registered
Disclosures

No Disclosures Found

As of Date
10/06/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions