Pradeep K. Jain
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.
Pradeep Kumar Jain, who also goes by Pk Jain, was a registered financial professional .
Pradeep is a previously registered financial professional and started their career in finance in 1988. Pradeep had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2013 - August 19, 2014
BRAVER STERN SECURITIES LLC
June 21, 2012 - February 20, 2013
TEJAS SECURITIES GROUP, INC.
February 16, 2010 - July 29, 2011
ADVISORS ASSET MANAGEMENT, INC.
October 16, 2008 - February 19, 2010
GLEACHER & COMPANY SECURITIES, INC.
December 11, 2007 - October 16, 2008
BROADPOINT DESCAP
August 12, 2004 - December 7, 2007
AURIA SERVICES CORP.
April 1, 2002 - February 18, 2004
ABN AMRO INCORPORATED
March 30, 2001 - November 16, 2001
COMMERZBANK CAPITAL MARKETS CORP.
January 5, 2000 - January 17, 2001
SANWA UNIVERSAL SECURITIES CO., LLC
November 28, 1997 - March 20, 1998
CITIGROUP GLOBAL MARKETS INC.
October 13, 1995 - March 20, 1998
SALOMON BROTHERS INC.
June 4, 1991 - January 5, 1995
DB ALEX. BROWN LLC
January 18, 1990 - May 17, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
February 23, 1988 - January 1, 1989
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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