Rooney A. Sahai
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.
Rooney Arun Sahai, who also goes by Arun Sahai, Rooney Sahai, was a registered financial professional .
Rooney is a previously registered financial professional and started their career in finance in 1986. Rooney had worked at 11 firms and has passed the Series 63, Series 7, Series 6 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
June 29, 2001 - November 14, 2001
INVESTORS CAPITAL CORP.
March 21, 2000 - June 19, 2000
APW CAPITAL, INC.
February 28, 2000 - February 20, 2001
DOMINARI SECURITIES LLC
May 6, 1999 - February 29, 2000
THE KEY GROUP INC.
October 8, 1997 - April 23, 1999
FIRST SECURITY INVESTMENTS, INC.
March 11, 1996 - June 6, 1997
MARSH, BLOCK & CO. INC.
May 15, 1991 - March 14, 1994
USLIFE EQUITY SALES CORP.
June 24, 1988 - June 4, 1991
INVESTORS ASSOCIATES, INC.
July 22, 1987 - July 21, 1988
FIRST ASIAN SECURITIES CORPORATION
September 2, 1986 - August 9, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 2, 1986 - August 9, 1988
EQUITABLE ADVISORS, LLC
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
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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