Sid M. Garai
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.
Sid Marvin Garai was a registered financial professional .
Sid is a previously registered financial professional and started their career in finance in 1995. Sid had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2008 - January 25, 2013
ASCENSUS FINANCIAL SERVICES, LLC.
October 10, 2007 - October 30, 2008
AVENTURA SECURITIES, LLC
March 31, 1995 - November 2, 2006
ADP BROKER-DEALER, 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
ASCENSUS FINANCIAL SERVICES, LLC.
CRD#: 147257 / SEC#: , 8-67891
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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