Raghu R. Saripalli
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.
Raghu Rao Saripalli, who also goes by Saripalli R Rao, Raghu R Saripalli, was a registered financial professional .
Raghu is a previously registered financial professional and started their career in finance in 1994. Raghu had worked at 6 firms and has passed the Series 63, Series 62 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
December 15, 2011 - April 3, 2014
ASCENDIANT CAPITAL MARKETS, LLC
May 14, 2009 - December 15, 2011
VIEWPOINT SECURITIES, LLC
July 17, 2001 - February 6, 2003
BARCLAYS CAPITAL INC.
June 14, 1999 - May 31, 2001
DEUTSCHE BANK SECURITIES INC.
June 17, 1996 - June 14, 1999
DB ALEX. BROWN LLC
October 18, 1994 - June 5, 1996
DRESDNER KLEINWORT WASSERSTEIN, LLC
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 62
Date: 5/13/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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