Arvind Bhatia
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.
Arvind Bhatia was a registered financial professional .
Arvind is a previously registered financial professional and started their career in finance in 1997. Arvind had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 16, 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
April 20, 2015 - June 29, 2016
CRT CAPITAL GROUP LLC
January 23, 2006 - April 20, 2015
STERNE, AGEE & LEACH, INC.
June 23, 1998 - January 20, 2006
HILLTOP SECURITIES INC.
March 2, 1998 - April 27, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 9, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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