Chander P. Wadhwa
Professional summary
Chander Parkash Wadhwa is a registered financial professional currently at RCM SECURITIES located in Chicago, Illinois.
Chander is registered as a RR (Registered Representative) and started their career in finance in 1981. Chander has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chander Parkash Wadhwa's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 1985 - Present
RCM SECURITIES
Office #1: 318 W Adams St Floor 10, Chicago, IL 60606July 6, 2021 - February 1, 2022
NUVAMA FINANCIAL SERVICES INC.
April 11, 1983 - May 14, 1985
GELDERMANN SECURITIES INC.
December 11, 1981 - April 27, 1983
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/5/1985)
(3/5/2023)
(2/27/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
