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AG

Avni V. Gandhi

ARES MANAGEMENT CAPITAL MARKETS LLC
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 5116350
AG

Professional summary

Avni Vora Gandhi, who also goes by Avni Gandhi, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Los Angeles, California.

Avni is registered as a RR (Registered Representative) and started their career in finance in 2006. Avni has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Avni Gandhi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Avni Vora Gandhi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 20, 2020 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
BD
CRD#: 166219
LOS ANGELES, CA
Past

January 24, 2017 - March 11, 2020

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
PASADENA, CA
Past

January 7, 2013 - December 19, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 3, 2011 - June 11, 2012

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

May 16, 2006 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/20/2020)
RR
Alaska
(3/20/2020)
RR
Arizona
(3/20/2020)
RR
Arkansas
(3/20/2020)
RR
California
(3/20/2020)
RR
Colorado
(3/20/2020)
RR
Connecticut
(3/20/2020)
RR
Delaware
(3/20/2020)
RR
District of Columbia
(3/20/2020)
RR
Florida
(3/20/2020)
RR
Georgia
(3/20/2020)
RR
Hawaii
(3/20/2020)
RR
Idaho
(3/20/2020)
RR
Illinois
(3/20/2020)
RR
Indiana
(3/20/2020)
RR
Iowa
(3/20/2020)
RR
Kansas
(3/20/2020)
RR
Kentucky
(3/20/2020)
RR
Louisiana
(3/20/2020)
RR
Maine
(3/20/2020)
RR
Maryland
(3/20/2020)
RR
Massachusetts
(3/20/2020)
RR
Michigan
(3/20/2020)
RR
Minnesota
(3/20/2020)
RR
Mississippi
(3/20/2020)
RR
Missouri
(3/20/2020)
RR
Montana
(3/20/2020)
RR
Nebraska
(3/20/2020)
RR
Nevada
(3/20/2020)
RR
New Hampshire
(3/20/2020)
RR
New Jersey
(3/20/2020)
RR
New Mexico
(3/20/2020)
RR
New York
(3/20/2020)
RR
North Carolina
(3/20/2020)
RR
North Dakota
(3/20/2020)
RR
Ohio
(3/20/2020)
RR
Oklahoma
(3/20/2020)
RR
Oregon
(3/20/2020)
RR
Pennsylvania
(3/20/2020)
RR
Rhode Island
(3/20/2020)
RR
South Carolina
(3/20/2020)
RR
South Dakota
(3/20/2020)
RR
Tennessee
(3/20/2020)
RR
Texas
(3/20/2020)
RR
Utah
(3/20/2020)
RR
Vermont
(3/20/2020)
RR
Virginia
(3/20/2020)
RR
Washington
(3/20/2020)
RR
West Virginia
(3/20/2020)
RR
Wisconsin
(3/20/2020)
RR
Wyoming
(3/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/29/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Los Angeles, CA 90067

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