Asha B. Joshi
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.
Asha Bhatt Joshi, who also goes by Asha K Bhatt, Asha Joshi, was a registered financial professional .
Asha is a previously registered financial professional and started their career in finance in 1995. Asha had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 3 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
April 22, 1996 - September 19, 2024
PAYDEN & RYGEL
September 21, 1995 - September 19, 2024
PAYDEN & RYGEL DISTRIBUTORS
Primary Firm SEC Registration
PAYDEN & RYGEL
CRD#: 107160 / SEC#: 801-19762
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
PAYDEN & RYGEL
CRD#: 107160 / SEC#: 801-19762
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 866 |
| AUM (Assets Under Management) | $ 150,947,495,804 |
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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