Rohini Gupta
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.
Rohini Gupta, who also goes by Mini Gupta, Ro Gupta, was a registered financial professional .
Rohini is a previously registered financial professional and started their career in finance in 1996. Rohini had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2008 - November 17, 2025
NATIXIS DISTRIBUTION, LLC
March 9, 2005 - December 31, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
January 10, 2002 - February 18, 2005
VOYA RETIREMENT ADVISORS, LLC
July 21, 1998 - December 31, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 9, 1996 - April 16, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
NATIXIS DISTRIBUTION, LLC
CRD#: 34754 / SEC#: , 8-46325
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
