Rajoo B. Sharma
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.
Rajoo Bachaspatimayum Sharma was a registered financial professional .
Rajoo is a previously registered financial professional and started their career in finance in 1991. Rajoo had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55 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 17, 2017 - May 4, 2018
LIBERTY ASSOCIATES, INC.
February 3, 2015 - November 19, 2015
LIBERTY ASSOCIATES, INC.
October 24, 2011 - November 9, 2011
LAMPERT CAPITAL MARKETS INC.
September 18, 2009 - October 21, 2011
MAXIM GROUP LLC
April 8, 2005 - May 17, 2007
FIRST MONTAUK SECURITIES CORP.
October 23, 2002 - April 29, 2005
MAXIM GROUP LLC
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
October 7, 1991 - December 18, 2000
GKN SECURITIES CORP.
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: 5/20/2010
Limited Representative-Equity Trader ExamCurrent Firm
LIBERTY ASSOCIATES, INC.
CRD#: 15071 / SEC#: , 8-31505
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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