Sanjeev Ahuja
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.
Sanjeev Ahuja was a registered financial professional .
Sanjeev is a previously registered financial professional and started their career in finance in 1989. Sanjeev had worked at 9 firms and has passed the Series 63, Series 7, Series 6 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
September 29, 2001 - December 31, 2012
LASALLE ST SECURITIES, L.L.C.
May 15, 1998 - October 1, 2001
EISNER SECURITIES, INC.
May 12, 1997 - May 22, 1998
JANNEY MONTGOMERY SCOTT LLC
September 26, 1995 - May 12, 1997
REPUBLIC FINANCIAL SERVICES CORPORATION
March 2, 1994 - September 27, 1995
ESSEX NATIONAL SECURITIES, LLC
November 10, 1993 - March 10, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
May 20, 1993 - March 2, 1994
CITICORP INVESTMENT SERVICES
March 22, 1989 - June 1, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 22, 1989 - June 1, 1993
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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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