Ramchand Mohan
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.
Ramchand Mohan was a registered financial professional .
Ramchand is a previously registered financial professional and started their career in finance in 1993. Ramchand had worked at 7 firms and has passed the Series 63, SIE 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
July 1, 2016 - December 31, 2016
OSAIC INSTITUTIONS, INC.
January 11, 2006 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
October 5, 2005 - October 11, 2005
PFIC SECURITIES CORPORATION
March 8, 2004 - October 5, 2005
FISERV INVESTOR SERVICES, INC.
November 13, 1998 - March 8, 2004
PFIC SECURITIES CORPORATION
March 20, 1997 - May 28, 1997
FISERV INVESTOR SERVICES, INC.
February 10, 1995 - December 31, 1996
1717 CAPITAL MANAGEMENT COMPANY
August 5, 1993 - September 1, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 5, 1993 - September 1, 1994
EQUITABLE ADVISORS, LLC
February 2, 1993 - April 12, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 2, 1993 - April 12, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
