KOTAK MAHINDRA, INC.
CRD #47251 SEC #801-64690 WHITE PLAINS, NY 914-997-6120
SEC Registered Broker-Dealer
Total AUM
$39.8M
Discretionary
$0
Employees
5
Clients
0
Accounts
17
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- MARCH
- Registration Date
- --
- Latest Filing
- Jan 6, 2006
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KOTAK MAHINDRA INTERNATIONAL LTD. | FE | SHAREHOLDER | NA | |
| KOTAK MAHINDRA INTERNATIONAL LTD. | FE | SHAREHOLDER | NA | |
| KOTAK MAHINDRA INTERNATIONAL LTD. | FE | SHAREHOLDER | NA | |
| KOTAK MAHINDRA INTERNATIONAL LTD. | FE | SHAREHOLDER | NA | |
| OBSBAUM, FREDRIC MICHAEL | I | FINOP/CFO | NA | Control |
| OBSBAUM, FREDRIC MICHAEL | I | FINOP/CFO | NA | Control |
| OBSBAUM, FREDRIC MICHAEL | I | FINOP/CFO | NA | Control |
| OBSBAUM, FREDRIC MICHAEL | I | FINOP/CFO | NA | Control |
| PARAMBI, PAUL VERGHESE | I | DIRECTOR | NA | Control |
| PARAMBI, PAUL VERGHESE | I | DIRECTOR | NA | Control |
| POLA, RAVILOCHAN | I | DIRECTOR/PRESIDENT/CCO/CEO | NA | Control |
| POLA, RAVILOCHAN | I | DIRECTOR/PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | NA | Control |
| POLA, RAVILOCHAN | I | DIRECTOR/PRESIDENT/CCO/CEO | NA | Control |
| POLA, RAVILOCHAN | I | DIRECTOR/PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | NA | Control |
| SYAMASUNDARAN, SHYAMKUMAR | I | DIRECTOR | NA | |
| SYAMASUNDARAN, SHYAMKUMAR | I | DIRECTOR | NA | |
| SYAMASUNDARAN, SHYAMKUMAR | I | DIRECTOR | NA | |
| SYAMASUNDARAN, SHYAMKUMAR | I | DIRECTOR | NA | |
| VISWANATHAN, VARADARAJAN | I | DIRECTOR | NA | |
| VISWANATHAN, VARADARAJAN | I | DIRECTOR | NA | |
| VISWANATHAN, VARADARAJAN | I | DIRECTOR | NA | |
| VISWANATHAN, VARADARAJAN | I | DIRECTOR | NA | |
| KOTAK MAHINDRA CAPITAL COMPANY | FE | SHAREHOLDER | E | Control |
| KOTAK MAHINDRA CAPITAL COMPANY | FE | SHAREHOLDER | E | Control |
| KOTAK MAHINDRA BANK LIMITED | FE | SHAREHOLDER | D | Control |
| KOTAK MAHINDRA BANK LIMITED | FE | SHAREHOLDER | D | Control |
| KOTAK MAHINDRA CAPITAL COMPANY | FE | SHAREHOLDER | C | Control |
| KOTAK MAHINDRA CAPITAL COMPANY | FE | SHAREHOLDER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GOLDMAN SACHS CORPORATION | DE | GOLDMAN SACHS , L.P. | E | Control |
| GOLDMAN SACHS GROUP, L. P. | FE | GOLDMAN SACHS (MAURITIUS ) LLC | E | Control |
| KOTAK MAHINDRA BANK LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | E | Control |
| KOTAK MAHINDRA BANK LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | E | Control |
| KOTAK MAHINDRA BANK LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | E | Control |
| KOTAK MAHINDRA FINANCE LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | E | Control |
| GOLDMAN SACHS ( MAURITIUS ) , LLC | FE | KOTAK MAHINDRA CAPITAL COMPANY | C | Control |
| KOTAK SECURITIES LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | C | Control |
| KOTAK SECURITIES LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | C | Control |
| KOTAK SECURITIES LIMITED | FE | KOTAK MAHINDRA CAPITAL COMPANY | C | Control |
Registrations
Federal
IA
Jan 6, 2006 REGISTERED
Notice Filings (1)
NY
Address
50 MAIN STREETSUITE #310
WHITE PLAINS, NY 10606
USA
Phone: 914-997-6120