Saroop S. Deol
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.
Saroop Singh Deol, who also goes by Saroop S Deol, was a registered financial advisor .
Saroop is a previously registered financial advisor and started their career in finance in 1986. Saroop had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 28, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2004 - June 11, 2004
GUNNALLEN FINANCIAL, INC
December 15, 2003 - June 11, 2004
GUNNALLEN FINANCIAL, INC
June 20, 2001 - August 1, 2002
GUNNALLEN FINANCIAL, INC
October 20, 1995 - June 27, 2001
RELIANCE CAPITAL, INC.
December 13, 1989 - October 16, 1995
ALLIED INVESTMENT SERVICES, INC.
April 15, 1988 - December 19, 1989
WALL STREET FINANCIAL INC.
January 21, 1986 - April 13, 1988
LINCOLN EQUITIES, 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 28
Date: 9/28/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
