Harmandar G. Sawhney
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.
Harmandar Gill Sawhney, who also goes by H Gill Sawhney, was a registered financial professional .
Harmandar is a previously registered financial professional and started their career in finance in 1995. Harmandar had worked at 8 firms and has passed the Series 63, Series 7 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
March 25, 2021 - July 1, 2022
HURON TRANSACTION ADVISORY LLC
September 3, 2014 - May 6, 2016
CANTOR FITZGERALD & CO.
September 29, 2011 - November 5, 2013
CAVU SECURITIES LLC
September 2, 2008 - February 2, 2010
RODMAN & RENSHAW, LLC
January 27, 2003 - September 2, 2008
MORGAN JOSEPH TRIARTISAN LLC
October 6, 2000 - October 16, 2002
THOMAS WEISEL PARTNERS LLC
July 20, 1998 - October 6, 2000
ABN AMRO SECURITIES LLC
February 7, 1995 - May 5, 1998
UBS SECURITIES 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
HURON TRANSACTION ADVISORY LLC
CRD#: 166959 / SEC#: , 8-69237
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
