Soma Somashekar
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.
Soma Somashekar, who also goes by Hosakere S Somashekar, was a registered financial professional .
Soma is a previously registered financial professional and started their career in finance in 1994. Soma had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2021 - March 22, 2023
CARNEY PORTFOLIO MANAGEMENT INC.
August 12, 2010 - June 5, 2019
MORGAN STANLEY
August 12, 2010 - June 5, 2019
MORGAN STANLEY
November 20, 2006 - November 25, 2009
RBC CAPITAL MARKETS, LLC
March 9, 2002 - November 25, 2009
RBC CAPITAL MARKETS, LLC
December 18, 1996 - March 9, 2002
SUTRO & CO. INCORPORATED
September 27, 1994 - December 12, 1996
CITIGROUP GLOBAL MARKETS 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
Series 8
Date: 11/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARNEY PORTFOLIO MANAGEMENT INC.
CRD#: 132883 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 92,827,076 |
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.
