Rishi Raj
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.
Rishi Raj, who also goes by Sharma Rudder Pratap, was a registered financial professional .
Rishi is a previously registered financial professional and started their career in finance in 1989. Rishi had worked at 6 firms and has passed the Series 63, Series 7, Series 62, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 1998 - March 16, 1998
LLOYD WADE SECURITIES INC.
June 18, 1991 - November 22, 1991
EDI FINANCIAL, INC.
April 23, 1991 - May 31, 1991
SOUTHARD SECURITIES CORPORATION
July 25, 1990 - March 5, 1991
OMNI SECURITIES, INC.
January 10, 1990 - March 17, 1990
KOBER FINANCIAL CORP.
October 24, 1989 - January 16, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 62
Date: 10/2/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
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.
