Soham R. Pandya
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.
Soham Ramesh Pandya was a registered financial professional .
Soham is a previously registered financial professional and started their career in finance in 1998. Soham had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2010 - June 20, 2017
AMERITECH ADVISORS
June 27, 2007 - November 18, 2008
THINKEQUITY LLC
July 27, 2004 - September 5, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 7, 2001 - July 20, 2004
CITIGROUP GLOBAL MARKETS INC.
November 3, 2000 - January 19, 2001
UBS SECURITIES LLC
July 13, 2000 - November 3, 2000
UBS FINANCIAL SERVICES INC.
January 1, 1998 - June 12, 2000
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMERITECH ADVISORS
CRD#: 151597 / SEC#: , 8-68384
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAGOSTINO, DANIEL SALVATORE JR | MANAGING MEMBER, CCO, EXECUTIVE REP., AML SUPERVISOR., FINOP, CFO | 2421774 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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