Rao K. Garuda
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rao Kesava Garuda, who also goes by Gar Garuda, Garuda Kesava Rao, was a registered financial professional .
Rao is a previously registered financial professional and started their career in finance in 1982. Rao had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2015 - August 8, 2022
ASSOCIATED INVESTMENT ADVISORS, INC.
August 1, 2011 - December 11, 2014
GRADIENT SECURITIES, LLC
July 29, 2011 - November 16, 2015
GRADIENT ADVISORS, LLC
August 25, 2003 - February 11, 2011
QA3 FINANCIAL LLC
August 19, 2003 - February 11, 2011
QA3 FINANCIAL CORP.
February 27, 2001 - August 19, 2003
SECURITIES AMERICA ADVISORS, INC.
August 14, 2000 - August 19, 2003
SECURITIES AMERICA, INC.
October 17, 1998 - October 6, 2000
PRIM SECURITIES, INCORPORATED
October 18, 1985 - September 15, 1998
WALNUT STREET SECURITIES, INC.
January 19, 1984 - October 8, 1985
VESTAX SECURITIES CORPORATION
March 21, 1983 - November 11, 1983
FIRST CLEVELAND INVESTMENTS, INC.
March 12, 1982 - April 18, 1983
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASSOCIATED INVESTMENT ADVISORS, INC.
CRD#: 281734 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 149 |
| AUM (Assets Under Management) | $ 40,735,395 |
Red Flags
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