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Ravi M. Singh

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CRD#: 2308409
RS

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.

Ravi Mohan Singh was a registered financial professional .

Ravi is a previously registered financial professional and started their career in finance in 1993. Ravi had worked at 4 firms and has passed the Series 63, SIE, Series 17 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 13, 2015 - March 10, 2017

TRUMID FINANCIAL LLC

BD
CRD#: 172129
NEW YORK, NY
Past

July 8, 2009 - August 21, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

March 3, 1998 - December 22, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 11, 1997 - February 10, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 13, 1993 - April 1, 1997

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/10/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 17
Date: 3/20/1993
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/2003
General Securities Principal Examination

Current Firm

TF
TRUMID FINANCIAL LLC
TRUMID FINANCIAL LLC

CRD#: 172129 / SEC#: , 8-69500

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1411 Broadway Suite 2410, New York, NY 10018
Mailing Address
1411 Broadway Suite 2410, New York, NY 10018
Phone number
(212) 618-0388
Established
Delaware since 06/04/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRUMID HOLDINGS LLCPARENT
BARRETT, LANCE MATTHEWFINOP6999105
KNOPP, CHERYL JODICHIEF COMPLIANCE OFFICER5273448
MATEO, RONALD MICHAELCEO2802819
SIRACUSE, DANIEL JCHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER5752088
SOBEL, MICHAEL EVANPRESIDENT4430822

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.

Company Information

TRUMID FINANCIAL LLC

CRD#: 172129

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