Sambamurty Kambhampati
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.
Sambamurty Kambhampati was a registered financial professional .
Sambamurty is a previously registered financial professional and started their career in finance in 1994. Sambamurty had worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2005 - July 7, 2022
UNICREDIT CAPITAL MARKETS LLC
November 15, 1994 - January 7, 2005
SMBC NIKKO SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
UNICREDIT CAPITAL MARKETS LLC
CRD#: 7789 / SEC#: , 8-23081
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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