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SR

Shivaji Rao

NEWOAK CAPITAL MARKETS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2501253
SR

Professional summary

Shivaji Rao is a registered financial professional currently at NEWOAK CAPITAL MARKETS LLC located in New York, New York.

Shivaji is registered as a RR (Registered Representative) and started their career in finance in 1997. Shivaji has worked at 10 firms and has passed the Series 63, Series 3, SIE and Series 7 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) - BD

Click below to view Shivaji Rao's CRS (Customer Relationship Summary).

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

Current

January 22, 2020 - Present

NEWOAK CAPITAL MARKETS LLC

Office #1: 3 Columbus Circle 15th Fl., New York, NY, 10019
BD
CRD#: 104063
New York, NY
Past

October 20, 2015 - August 12, 2016

DEMOPOLIS CAPITAL INC.

BD
CRD#: 14234
HARLEM, NY
Past

August 9, 2013 - October 28, 2013

MARV CAPITAL INC.

BD
CRD#: 104390
NEW YORK, NY
Past

November 20, 2009 - December 5, 2011

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

July 28, 2009 - November 30, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

December 1, 2008 - August 4, 2009

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
NEW YORK, NY
Past

June 20, 2008 - September 10, 2008

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

March 13, 2006 - April 16, 2008

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

January 4, 2002 - March 1, 2006

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

June 4, 1997 - September 29, 1997

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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: 9/26/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 5/18/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 8/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NEWOAK CAPITAL MARKETS LLC
GIORDANO - DELLA CAMERA SECURITIES LLC | NEWOAK CAPITAL MARKETS LLC | J. GIORDANO SECURITIES LLC | J. GIORDANO SECURITIES | J GIORDANO SECURITIES LLC | J GIORDANO SECURITIES GROUP | J GIORDANO SECURITIES | GIORDANO DELLACAMERA SECURITIES LLC

CRD#: 104063 / SEC#: , 8-52532

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

Main Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Mailing Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Phone number
(212) 209-0850
Established
Delaware since 12/30/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEWOAK SECURITIES HOLDINGS LLCMEMBER
COHEN, EDWARD BARRYPFO1029283
D'VARI, RONPOO4507652
D'VARI, RONCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO4507652
D'VARI, RONCEO4507652
DALISO, SALVATORE ANTHONYCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO710079

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

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063New York, NY 10019

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