Raj Shekar
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.
Raj Shekar, who also goes by Rajasekar Ramalingam, Raj Shekar, was a registered financial professional .
Raj is a previously registered financial professional and started their career in finance in 1997. Raj had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2022 - January 28, 2026
VANGUARD ADVISERS, INC.
June 30, 2022 - January 28, 2026
VANGUARD MARKETING CORPORATION
August 31, 2020 - January 3, 2022
BANCWEST INVESTMENT SERVICES, INC.
August 26, 2020 - January 3, 2022
BANCWEST INVESTMENT SERVICES, INC.
January 9, 2019 - December 4, 2019
CITIZENS SECURITIES, INC.
January 9, 2019 - December 4, 2019
CITIZENS SECURITIES, INC.
February 27, 2018 - January 7, 2019
TD AMERITRADE, INC.
February 26, 2018 - January 7, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 7, 2019
TD AMERITRADE, INC.
February 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 24, 2017 - February 26, 2018
SCOTTRADE, INC.
November 4, 2015 - February 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2015 - February 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2014 - October 8, 2014
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
August 14, 2014 - October 22, 2014
LPL FINANCIAL LLC
January 23, 2014 - June 30, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 19, 2013 - June 30, 2014
BBVA SECURITIES INC.
June 20, 2011 - October 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2011 - October 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2011 - May 17, 2011
CHASE INVESTMENT SERVICES CORP.
March 30, 2011 - May 17, 2011
CHASE INVESTMENT SERVICES CORP.
March 13, 2006 - March 22, 2011
OSAIC SERVICES, INC.
October 31, 2005 - March 22, 2011
OSAIC SERVICES, INC.
August 19, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 5, 2000 - July 12, 2005
AMERIPRISE ADVISOR SERVICES, INC.
July 23, 1997 - January 25, 2000
PFS INVESTMENTS INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
