Rajiv K. Fernando
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.
Rajiv Kumar Fernando, who also goes by Raj Fernando, was a registered financial professional .
Rajiv is a previously registered financial professional and started their career in finance in 1999. Rajiv had worked at 3 firms and has passed the SIE, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2011 - January 20, 2015
CHOPPER SECURITIES, LLC
October 17, 2002 - January 13, 2010
GELBER SECURITIES, LLC
April 29, 2002 - July 29, 2002
GELBER SECURITIES, LLC
July 7, 1999 - January 18, 2002
ROSENTHAL GLOBAL SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 72
Date: 7/6/1999
Government Securities Representative ExaminationCurrent Firm
CHOPPER SECURITIES, LLC
CRD#: 154491 / SEC#: , 8-68641
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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