Lalishwar M. Ramgopal
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.
Lalishwar Mitra Ramgopal was a registered financial professional .
Lalishwar is a previously registered financial professional and started their career in finance in 1993. Lalishwar had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, 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
April 24, 2000 - January 10, 2024
SIDOTI & COMPANY, LLC
July 17, 1997 - February 26, 1999
SCHRODER & CO. INC.
May 24, 1996 - July 16, 1997
NATWEST SECURITIES CORPORATION
March 20, 1996 - June 7, 1996
EULAV SECURITIES, INC.
May 5, 1993 - January 10, 1994
HANOVER, STERLING & COMPANY LTD.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
