Raj A. Vazirani

AVATAR SECURITIES

New York, NY 10016

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CRD#: 3093376

Professional summary

Raj Anand Vazirani, who also goes by Raj A Vazirani, Ruj Anand Vazirani, is a registered financial professional currently at AVATAR SECURITIES, LLC located in New York, New York.

Raj is registered as a RR (Registered Representative) and started their career in finance in 1998. Raj has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Raj A Vazirani | Ruj Anand Vazirani

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) - BD

Click below to view Raj Anand Vazirani'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

August 27, 2020 - Present

AVATAR SECURITIES, LLC

Office #1: 148 Madison Ave 5th Floor, New York, NY 10016

CRD#: 147763

New York, NY

Past

January 7, 2014 - August 17, 2015

QUAD SECURITIES LLC

CRD#: 163463

NEW YORK, NY

Past

March 3, 2009 - July 30, 2014

QUAD CAPITAL, LLC

CRD#: 148927

NEW YORK, NY

Past

March 21, 2007 - March 10, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 3, 2003 - April 17, 2007

CANTOR FITZGERALD & CO.

CRD#: 134

SUMMIT, NJ

Past

March 19, 2001 - March 7, 2003

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 24, 1999 - February 6, 2001

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

September 1, 1998 - September 21, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 8/27/2020

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 7/28/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/27/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/1/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/28/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2007

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

Current Firm

AVATAR SECURITIES, LLC

CRD#: 147763 / SEC#: , 8-67932

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

148 Madison Ave 5th Floor, New York, NY 10016

Mailing Address

148 Madison Ave 5th Floor, New York, NY 10016

Phone number

(212) 217-2800

Established

Delaware since 05/14/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AVATAR TRADING GROUP, LLC	HOLDING CO.
DEETER, MISHA BODHI	MEMBER	5132163
BROWSKI, ANDREW CHARLES	CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER	5778834
HOLLAND, RAYMOND F	CO-MANAGING MEMBER	5509397
KATHWARI, OMAR FAROOQ	CO-MANAGING MEMBER	5509343
SLOAN NOWAK, JACQUELINE LEE	FINOP/PRINCIPAL FINANCIAL OFFICER	2717305

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Raj A. Vazirani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raj Anand Vazirani's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUAD SECURITIES LLC

QUAD CAPITAL, LLC

DEUTSCHE BANK SECURITIES INC.

CANTOR FITZGERALD & CO.

LEHMAN BROTHERS INC.

KNIGHT CAPITAL AMERICAS, L.P.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1998

Series 57TO

Date: 8/27/2020

SIE

Date: 7/28/2020

Series 3

Date: 3/27/2002

Series 55

Date: 4/1/1999

Series 7

Date: 8/28/1998

Series 24

Date: 8/23/2007

FINRA

Nasdaq PHLX LLC

Current Firm

AVATAR SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AVATAR SECURITIES, LLC

TRUST BUT VERIFY

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