Rakesh K. Saluja
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.
Rakesh Kumar Saluja was a registered financial professional .
Rakesh is a previously registered financial professional and started their career in finance in 1991. Rakesh had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 31 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
March 5, 2014 - January 9, 2025
J.P. MORGAN SECURITIES LLC
March 4, 2014 - January 9, 2025
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 3, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 3, 2014
J.P. MORGAN SECURITIES LLC
October 29, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 29, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 7, 2007 - July 29, 2009
MSI FINANCIAL SERVICES, INC.
April 7, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 7, 2003 - July 29, 2009
MSI FINANCIAL SERVICES, INC.
May 16, 2002 - December 18, 2002
WORLDCO, L.L.C.
December 9, 1998 - December 10, 2001
MORGAN STANLEY DW INC.
August 27, 1996 - November 6, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 27, 1996 - November 6, 1998
EQUITABLE ADVISORS, LLC
May 20, 1993 - September 9, 1994
CITICORP INVESTMENT SERVICES
October 9, 1991 - May 7, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 55
Date: 6/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
