Ravi (. Malhotra

OAK & REED CAPITAL MANAGEMENT

BROOKLYN, NY

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CRD#: 2857898

Professional summary

Ravi (nmn) Malhotra, who also goes by Ravi Malhotra, Ravi Mehrotra, is a registered financial advisor currently at OAK & REED CAPITAL MANAGEMENT, LLC located in Brooklyn, New York.

Ravi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Ravi has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ravi Malhotra | Ravi Mehrotra

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ravi (nmn) Malhotra's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 28, 2012 - Present

OAK & REED CAPITAL MANAGEMENT, LLC

RIA

CRD#: 158867

BROOKLYN, NY

Past

July 21, 2005 - December 20, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 24, 2005 - December 20, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 14, 2003 - March 29, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/16/2022)

IAR

Texas
(2/28/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/15/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

Current Firm

OAK & REED CAPITAL MANAGEMENT, LLC

CRD#: 158867 / SEC#: 801-72921

RIA

Registered Investment Advisory firm - (10/15/2012 Terminated)

New York

Registered Investment Advisory firm - (10/12/2012 Approved)

Texas

Registered Investment Advisory firm - (6/15/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

122 Ashland Place Apt 16j, Brooklyn, NY 11201

Mailing Address

Phone number

(646) 926-2573

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 19,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Ravi (. Malhotra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ravi (nmn) Malhotra's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK & REED CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2005

Series 63

Date: 5/15/2003

Series 7

Date: 5/12/2003

Current Firm

OAK & REED CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OAK & REED CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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