Rakesh Bhargava
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.
Rakesh Bhargava was a registered financial advisor .
Rakesh is a previously registered financial advisor and started their career in finance in 1983. Rakesh had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2020 - December 31, 2022
FIRST DOMINION CAPITAL CORP.
April 20, 2011 - September 30, 2015
BLUE SPRUCE GLOBAL ADVISORS, LLC
February 9, 2007 - December 31, 2007
BLUE SPRUCE GLOBAL ADVISORS, LLC
October 29, 2004 - October 29, 2020
BHARGAVA CAPITAL
December 6, 1999 - July 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 6, 1999 - July 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1997 - December 21, 1999
LAIDLAW GLOBAL SECURITIES, INC.
August 10, 1994 - January 6, 1998
CIBC WORLD MARKETS CORP.
January 18, 1993 - August 24, 1994
CITIGROUP GLOBAL MARKETS INC.
March 1, 1983 - January 27, 1993
KIDDER, PEABODY & CO. INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIRST DOMINION CAPITAL CORP.
CRD#: 16330 / SEC#: , 8-33719
Contact information
FINRA licenses (18 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN PASCO III REVOCABLE TRUST DATED MAY 10, 2004 | OWNER | |
| PRICE, JOHN CLIFFORD | OWNER | 1707529 |
| ANCI, CHRISTOPHER FRANCIS | PRESIDENT, FINOP, PRINCIPAL | 2747555 |
| PASCO, JOHN III | TRUSTEE | 357414 |
| PORTWOOD, WILLIAM BOYCE | CHIEF COMPLIANCE OFFICER | 4853700 |
| VERMILLERA, SANDRA ZEMBACHS | VICE PRESIDENT, TREASURER, PRINCIPAL | 6376063 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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