Status of Stock Broker Registration Applications as on March 31, 2013 (Equity) Sr. No. Applicant Name Date of Receipt Excha Application Status (DD-MMM-YY) nge
1 3 T WEALTH 15-Nov-12 MCX Clarification Sought. Reply is awaited
2 A. K. Stockmart Pvt Limited 28-Dec-12 MCX Clarification Sought. Reply is awaited
3 Achintya Securities 23-Jan-13 MCX Clarification Sought. Reply is awaited
4 Acumen Capital Market (India) Limited 14-Mar-13 MCX Clarification Sought. Reply is awaited
5 Alacrity Securities Limited 5-Mar-13 MCX Clarification Sought. Reply is awaited
6 Alice Blue Securities 14-Feb-13 MCX Clarification Sought. Reply is awaited
7 Almondz Global Securities Limited 14-Mar-13 MCX Under Process
8 Amar & Sons Stock Broking Pvt Limited 10-Dec-12 MCX Clarification Sought. Reply is awaited
9 Anush Shares & Securities Pvt Limited 5-Mar-13 MCX Clarification Sought. Reply is awaited
10 Anushkaa Securities Pvt Limited 18-Mar-13 MCX Clarification Sought. Reply is awaited
11 Arrow Asia Stock Broking Ltd 21-Feb-13 MPSE Clarification Sought. Reply is awaited
12 ATS Share Brokers Pvt Limited 20-Mar-13 MCX Under Process
13 Ayushajay Stock Brokers Pvt Limited 25-Mar-13 MCX Under Process
14 B. M. Gandhi Sharebroking Pvt Limited 19-Nov-12 MCX Clarification Sought. Reply is awaited
15 Badjate Stock & Shares Pvt Limited 28-Jan-13 NSE Under Process, reply received on 03/03/2013
16 BgSE Financials Limited 29-Jan-13 MCX Under Process, reply received on 21/03/2013
17 BMA Wealth Creators Limited 25-Mar-13 MCX Under Process
18 Bulls Eye Financials 8-Mar-13 BGSE Clarification Sought. Reply is awaited
19 Citigroup Global Markets India Pvt Limited 5-Mar-13 MCX Under Process
20 Durga Prasad & Co 13-Mar-13 MCX Under Process
21 Ek Dunt Share Broking Pvt Limited 14-Mar-13 MCX Under Process
22 Farsight Securities Limited 7-Jan-13 MCX Clarification Sought. Reply is awaited
23 Finshore Securities Pvt Limited 13-Mar-13 MCX Clarification Sought. Reply is awaited
24 Finvasia Securities Pvt Ltd 13-Feb-13 NSE Clarification Sought. Reply is awaited
25 Fulcrum Financial Services Limited 18-Mar-13 MCX Under Process
26 Ganesh Shashikishor Katkar 7-Feb-13 MPSE Clarification Sought. Reply is awaited
27 Ganesh Stockinvest Pvt Ltd 4-Feb-13 MCX Clarification Sought. Reply is awaited
28 GCL Securities Pvt Limited 5-Mar-13 MCX Clarification Sought. Reply is awaited
29 Geojit BNP Paribas Financial Services Limited 27-Dec-12 MCX Clarification Sought. Reply is awaited
30 Good Fortune Capitals Pvt Limited 18-Mar-13 MCX Under Process
31 Guiness Securities Limited 17-Dec-12 MCX Clarification Sought. Reply is awaited
32 Gunjan Dewangan 22-Jan-13 MPSE Clarification Sought. Reply is awaited
33 Indian Finance Guaranty Limited 26-Dec-12 MCX Clarification Sought. Reply is awaited 34 ISE Securities & Services Limited 3-Jan-13 MCX Clarification Sought. Reply is awaited
35 Jamnadas Virji Shares & Stock Brokers Pvt Limited 10-Dec-12 MCX Clarification Sought. Reply is awaited
36 Jitendra V Patel 11-Mar-13 VSE Under Process
37 JM Financial Institutional Services Pvt Limited 5-Mar-13 MCX Clarification Sought. Reply is awaited
38 JM Financial Services Pvt Ltd 15-Feb-13 MCX Clarification Sought. Reply is awaited
39 Jyoti Rajendra Shah (R. Jamnadas Tulsidas Shah) 13-Mar-13 BSE Under Process
40 Jyoti Sanjeev Arora (S.A. & Associates) 11-Mar-13 VSE Under Process
41 Kaynet Capital Limited 13-Mar-13 MCX Under Process
42 Krishna Securities 14-Mar-13 MCX Clarification Sought. Reply is awaited
43 Kumar Share Brokers Limited 13-Mar-13 MCX Under Process
44 LSE Securities Limited 3-Dec-12 MCX Clarification Sought. Reply is awaited
45 Madhuvan Sercurities Pvt Limited 17-Dec-12 MCX Clarification Sought. Reply is awaited
46 Magnum Equity Broking Limited 13-Mar-13 MCX Under Process
47 Magnum Fincorp Holding Limited 29-Oct-12 MPSE Clarification Sought. Reply is awaited
48 Malar Stock And Share Broking Co Pvt Ltd 25-Feb-13 MCX Clarification Sought. Reply is awaited
49 Market Creators Limited 26-Nov-12 MCX Clarification Sought. Reply is awaited
50 Mathran Securities Pvt Limited 11-Dec-12 MCX Clarification Sought. Reply is awaited
51 Moneylicious Securities Pvt Limited 11-Mar-13 MPSE Under Process
52 NEETU SHARMA (TN: STEP AHEAD BROKING) 21-Jan-13 MPSE Reply received from broker on 23/3/2013
53 NEIL CHANDRESH SHAH 15-Mar-13 MPSE Under Process
54 NEST CAPITAL SERVICES PRIVATE LIMITED 8-Jan-13 MPSE Reply received from broker on 23/3/2013
55 NITESHBHAI VALLABHAI SAVALIYA (PROP. MIRACLE CAPITAL SERVICES) 8-Jan-13 MPSE Reply received from broker on 23/3/2013
56 NITYA SECURITIES PVT LTD 8-Feb-13 MPSE Reply received from broker on 23/3/2013
57 NVS BROKERAGE PVT LTD 31-Oct-12 MCX Clarification Sought. Reply is awaited
58 ODYSSEY SECURITIES PVT LTD. 4-Mar-13 MCX Clarification Sought. Reply is awaited
59 PARIJAT GARG (THIRD WAVE STOCK BROKING) 7-Feb-13 MPSE Reply received from broker on 23/3/2013
60 PASSION STOCK BROKING PVT LTD 4-Mar-13 MCX Under Process
61 PINE TREE CAPITAL MARKETS PRIVATE LIMITED 12-Nov-12 BSE Reply received from broker on 18/3/2013
62 PLATINUM SECURITIES 4-Mar-13 MCX Under Process
63 Prabhat Financial Services Ltd 23-Nov-12 MCX Clarification Sought. Reply is awaited
64 PRAGMATIC WEALTH MANAGEMENT PRIVATE LIMITED 18-Feb-13 MPSE Reply received from broker on 23/3/2013
65 Prashant J Patel 26-Nov-12 MCX under process-reply of member received on march 8, 2013
66 PRODECS SECURITIES PRIVATE LIMITED 4-Mar-13 MCX Under Process
67 PUMARTH CREDIT & CAPITAL LTD. 8-Jan-13 MCX Clarification Sought. Reply is awaited
68 R.L.P SECURITIES PRIVATE LIMITED 13-Dec-12 MCX Clarification Sought. Reply is awaited 69 RACHNA GUPTA 2-Aug-12 LSE Clarification Sought. Reply is awaited
70 RAGA SECURITIES & FINANCE PVT LTD 13-Mar-13 MCX Under Process
71 RELIABLE STOCKS & SHARE INDIA LIMITED 3-Dec-12 MCX Clarification Sought. Reply is awaited
72 RNG Finvest Pvt. Ltd. 9-Sep-12 DSE Clarification Sought. Reply is awaited
73 RTG SHARE BROKING LIMITED 14-Mar-13 MCX Under Process
74 RUCHIKA CAPITAL SERVICES (P) LTD 30-Jan-13 MCX Clarification Sought. Reply is awaited
75 RUZUAL SECURITIES RESEARCH & CONSULTANTS 4-Mar-13 MCX Under Process
76 SANDHYA SINGH (TN: ADITYA INVESTMENTS 21-Jan-13 MPSE Clarification Sought. Reply is awaited
77 Santosh Kumar Kejriwal Securities Private Limited 13-Mar-13 MCX Under process - March 13, 2013
78 SANTOSH KUMAR KEJRIWAL SECURITIES PVT LTD 22-Jan-13 BSE Clarification Sought. Reply is awaited
79 SBICAP SECURITIES LTD 6-Feb-13 MCX Clarification Sought. Reply is awaited
80 SEEMA GUPTA 17-Dec-12 MPSE Clarification Sought. Reply is awaited
81 SHAISTA NASIM 8-Nov-12 UPSE Clarification Sought. Reply is awaited
82 SHARAD KUMAR DARAK 13-Aug-12 MPSE Clarification Sought. Reply is awaited
83 Shilpa Stock Broker Pvt Ltd 26-Nov-12 MCX Clarification Sought. Reply is awaited
84 SHRI PARASRAM HOLDINGS P LTD. 12-Dec-12 MCX Clarification Sought. Reply is awaited
85 SHWETA JUNWAR 24-Dec-12 MPSE Clarification Sought. Reply is awaited
86 SIC Stocks & Services Pvt.Ltd. 7-Dec-12 MCX Clarification Sought. Reply is awaited
87 SONA GLOBAL LIMITED 28-Jan-13 BSE Clarification Sought. Reply is awaited
88 SRM Securities Pvt Ltd 3-Dec-12 MCX Reply to query received from the member on March 19, 2013 -Under Process
89 SSD Securities Pvt Ltd 27-Nov-12 MCX Reply to query received from the member on March 20, 2013 -Under Process
90 STOCK OPTIONS EXPRESS PVT LTD 6-Dec-12 MCX Clarification Sought. Reply is awaited
91 SUDHA IN-TECH CORPORATION PVT LTD 18-Feb-13 MPSE Clarification Sought. Reply is awaited
92 SUDHIR NATHULAL PATNI 8-Jan-13 MPSE Clarification Sought. Reply is awaited
93 Sugal & Damani Shares Brokers Limited 23-Aug-11 MSE Clarification Sought. Reply is awaited
94 SV SHARE BROKING PRIVATE LIMITED 15-Feb-13 MCX Clarification Sought. Reply is awaited
95 SWAGATH SECURITIES PVT LTD 11-Dec-12 MCX Clarification Sought. Reply is awaited
96 SYSTEMATIX SHARES AND STOCKS (INDIA) LIMITED 30-Nov-12 MCX Under process - December 27, 2012
97 Tapasvi Likh (M/s. Paul & Co.) 13-Jan-12 LSE Clarification Sought. Reply is awaited
98 TFC FINCONS PRIVATE LIMITED 27-Nov-12 MCX Clarification Sought. Reply is awaited
99 TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD. 14-Feb-13 MCX Under Process
100 TRUSTLINE SECURITIES LIMITED 4-Mar-13 MCX Clarification Sought. Reply is awaited
101 UDAY SHANTILAL SHAH 25-Feb-13 ASE Clarification Sought. Reply is awaited
102 VARSHA VENTURES LTD. 2-Jan-13 MCX Clarification Sought. Reply is awaited
103 Vishwanatha Shenoy A.R. 19-Nov-12 CSE Clarification Sought. Reply is awaited SEBI follows the transparent procedure for granting registration to the applicants. By and large, reply is sent to the applicant within a period of 30 days. Once the requirements are complied with, as advised in our letter, certificate of registration is issued. The applicants may please note that in case they provide incomplete / vague information or supporting documents, wherever required, are not enclosed, this may lead to further correspondence and delay in processing of their applications.
In case the application has remained unattended or there is an inordinate delay, the applicant should not hesitate in writing to Deputy General Manager, Shri Aliasgar Mithwani ([email protected]) or Deputy General Manager, Krishnanand Raghavan ([email protected]) or the Executive Director, Shri P K Nagpal ([email protected]).