Ajay R. Dravid
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.
Ajay Raghunath Dravid, who also goes by Ajay R Dravid, Ajay Dravid, was a registered financial professional .
Ajay is a previously registered financial professional and started their career in finance in 1994. Ajay had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2013 - September 26, 2018
TRIVE NEW YORK LLC
September 1, 1998 - December 6, 2004
CITIGROUP GLOBAL MARKETS INC.
June 19, 1998 - August 7, 2002
SALOMON BROTHERS ASSET MANAGEMENT INC
April 5, 1994 - September 1, 1998
SALOMON BROTHERS INC.
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
TRIVE NEW YORK LLC
CRD#: 21946 / SEC#: , 8-39420
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
