Paul K. Raman
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.
Paul Kolar Raman was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 12 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2022 - September 13, 2022
VALLEY WEALTH MANAGERS, INC.
March 13, 2007 - February 2, 2009
LBMZ SECURITIES, INC.
August 4, 2005 - December 10, 2005
WINDS OF CHANGE CAPITAL MANAGEMENT
November 26, 2003 - April 5, 2005
LBMZ SECURITIES, INC.
August 26, 2002 - March 14, 2003
STURDIVANT & CO. INC
November 12, 2001 - November 15, 2001
QUASAR DISTRIBUTORS, LLC
December 7, 2000 - August 31, 2001
FORUM FINANCIAL SERVICES, LLC
July 1, 1999 - August 3, 2000
BOFA DISTRIBUTORS, INC.
March 2, 1999 - June 18, 1999
THE CONCORD EQUITY GROUP, LLC
June 6, 1996 - April 14, 1997
UBS FINANCIAL SERVICES INC.
June 3, 1996 - August 7, 1996
SBC WARBURG, INC.
June 1, 1992 - June 3, 1996
S.G. WARBURG & CO. INC.
January 1, 1991 - May 12, 1992
ANANTHA RAMAN & COMPANY, INC.
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
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
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
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.
