| Stock Broker Name | Registration Number | Registered Office | Branch Address | Contact Number | Email Id |
|---|---|---|---|---|---|
| AUM SECURITIES PVT. LTD. | INZ000173337 | 806/807, KOSHA KOMMERCIAL KOMPLEX, 8TH FLR., PODDAR ROAD, NR. RAM LEELA MAIDAN, MALAD (E), Mumbai 400097 | NIL | 8355843430 | [email protected] |
| Grievance Escalation Matrix | Contact Person | Address | Contact No. | Email id | Working Hours (All Trading Days) |
|---|---|---|---|---|---|
| Customer care | SubaVijila S Nadar | 806/807, KOSHA KOMMERCIAL KOMPLEX, 8TH FLR., PODDAR ROAD, NR. RAM LEELA MAIDAN, MALAD (E), Mumbai 400097 | 8355843430 | [email protected] | 09.00 AM to 06.00 PM (All Saturdays are Holiday) |
| Compliance officer | Suba Vijila Nadar | 7039377315 | [email protected] | 09.00 AM to 06.00 PM (All Saturdays are Holiday) |
|
| Head of Customer care | Vimal Arunbhai Mehta | 9022028911 | [email protected] | 09.00 AM to 06.00 PM (All Saturdays are Holiday) |
|
| CEO | Hemal Arunbhai Mehta | 8691994231 | [email protected] | 09.00 AM to 06.00 PM (All Saturdays are Holiday) |
Names and contact details of all Key Managerial Personnel including the Compliance Officer
| Name of the Individual | Designation | Mobile Number | Email Id |
|---|---|---|---|
| Vimal Arunbhai Mehta | Designated Director | 9022028911 | [email protected] |
| Hemal Arunbhai Mehta | CEO | 8691994231 | [email protected] |
| Hemal Arunbhai Mehta | Whole time director | 8691994231 | [email protected] |
| Mihen Halani & Associates | Company Secretary | 022-62360279 | [email protected] |
| Suba Vijila Nadar | Compliance officer | 7039377315 | [email protected] |
Details of Authorised Persons
| Authorised Person's Name | Authorised Person's code (Exchange Wise) | Constitution | Status (Approved/Cancelled) | Registered Address | |||||
|---|---|---|---|---|---|---|---|---|---|
| ADD | City | State | Pincode | Terminal allotted (Y/N) | No. of Terminals | ||||
| Chandreshkumar Mohanbhai Chauhan | AP0914000011 | Office No. 421 Sun Grevitas Shyamal Cross Road Satellite | Ahmedabad | Gujarat | 380015 | ||||
| Laksh Girishchandra Barot | AP0914000021 | 100 Tapovan Society Part 2 Anil Starch Road | Ahmedabad | Gujarat | 380015 | ||||
| Jitendra Kumar Kaler | CM-AP0914000031 / FO-AP0914000031 | 384 Shri Raj Villa, Ward No. 27, Bhagpat Colony, Sikar | Sikar | Rajasthan | 332001 | ||||
| Sapna H Thapa | CM-AP0914000041 / FO-AP0914000041 | 02 Goverdhan Park 2, Chhani Jakatnaka TP 13, Vadodara | Vadodara | Gujarat | 390024 | ||||
| Zeeshan Usmani | CM-AP0914000051 / FO-AP0914000051 | Flat No 34 Aashiyan Complex Near Police Chowki Bd A Colony Kohe Fiza | Bhopal | Madhya Pradesh | 462001 | ||||
Details of Authorised Persons.
| Authorised Person's Name | Status | Constitution | Registered Address | ||||||
|---|---|---|---|---|---|---|---|---|---|
| ADD | City | ||||||||
| Not Applicable | |||||||||
.png)
ATTENTION INVESTORS!
-
Beware of guaranteed returns:
Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms. -
Do not keep funds idle:
Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms. -
Check account settlements:
Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following link: https://www.nseindia.com/invest/about-defaulter-section. -
No direct security transfers:
Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can take securities belonging to clients only for settlement of securities sold by the client. -
Keep contact details updated:
Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly. -
Verify trades regularly:
Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith. -
Review weekly statements:
Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy. -
Avoid unauthorized transfers:
Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.”
Members are advised to take note of the above and comply.