Abhay N. Pande
Professional summary
Abhay Narayan Pande, who also goes by Abhay N Pande, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Abhay is registered as a RR (Registered Representative) and started their career in finance in 2002. Abhay has worked at 2 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Abhay Narayan Pande's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2021 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428July 1, 2002 - August 22, 2013
CITIGROUP GLOBAL MARKETS 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
(11/4/2021)
(7/9/2021)
(9/16/2022)
(7/9/2021)
Exams
Series 79TO
Date: 11/6/2021
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 4/26/2021
Limited Representative-Private Securities OfferingsFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
