Tina K. Sodhi
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.
Tina Kaur Sodhi was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 1996. Tina had worked at 4 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2010 - May 29, 2024
TRIAGO
September 28, 2009 - July 9, 2010
SGMA CAPITAL MARKETS LIMITED
May 12, 1997 - June 10, 1998
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 22, 1996 - May 13, 1997
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
TRIAGO
CRD#: 143529 / SEC#: , 8-67573
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIAGO MANAGEMENT DEVELOPMENT SARL | SHAREHOLDER | |
| ADELSON, SCOTT JOSEPH | DIRECTOR | 2147111 |
| ALLEY, JAMES LINDSEY | DIRECTOR | 2394515 |
| CRAIN, CHRISTOPHER MADISON | DIRECTOR | 4870370 |
| QUIROGA, VICTOR EDUARDO | CCO, EXEC. REP, AML SUPER. | 4841312 |
| SWAIN, MATTHEW JOSEPH | PRESIDENT | 6826025 |
| TANIGUCHI, EDWARD NEAL | FINOP | 4632869 |
Red Flags
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