Upinder Sharma
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.
Upinder Sharma, who also goes by Kevin Sharma, Upinder Kumar Sharma, was a registered financial professional .
Upinder is a previously registered financial professional and started their career in finance in 1997. Upinder had worked at 13 firms and has passed the Series 63, SIE, 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
February 27, 2015 - September 6, 2016
EASTGATE SECURITIES, LLC
February 25, 2015 - February 27, 2015
EASTGATE SECURITIES, LLC
February 19, 2015 - September 1, 2015
ROTHSCHILD LIEBERMAN LLC
June 24, 2014 - March 19, 2015
DAWSON JAMES SECURITIES, INC.
August 6, 2013 - June 17, 2014
WINDSOR STREET CAPITAL, LP
April 7, 2008 - July 1, 2013
OBSIDIAN FINANCIAL GROUP, LLC
May 18, 2005 - April 15, 2008
WESTROCK ADVISORS, INC.
February 17, 2004 - June 2, 2005
GUNNALLEN FINANCIAL, INC
October 21, 2002 - January 30, 2004
J.P. TURNER & COMPANY, L.L.C.
December 21, 2001 - November 25, 2002
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
September 22, 1999 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
December 4, 1997 - October 19, 1999
TASIN & COMPANY, INC.
August 28, 1997 - November 24, 1997
LEGEND MERCHANT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EASTGATE SECURITIES, LLC
CRD#: 146671 / SEC#: , 8-67837
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
