Bandna Virdi
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.
Bandna Virdi, who also goes by Bandna Bindra, Bandna Bindra, was a registered financial professional .
Bandna is a previously registered financial professional and started their career in finance in 2007. Bandna had worked at 11 firms and has passed the Series 66, Series 63, SIE 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
March 9, 2022 - August 9, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 4, 2022 - August 9, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 2, 2021 - January 24, 2022
WALLER & WAX ADVISORS, INC.
May 19, 2021 - January 26, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 11, 2021 - January 26, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 27, 2018 - February 26, 2021
J.P. MORGAN SECURITIES LLC
September 26, 2018 - February 26, 2021
J.P. MORGAN SECURITIES LLC
April 20, 2018 - May 17, 2018
FSC SECURITIES CORPORATION
April 20, 2018 - May 17, 2018
FSC SECURITIES CORPORATION
March 28, 2017 - April 25, 2018
AVANTAX ADVISORY SERVICES
March 28, 2017 - April 25, 2018
AVANTAX INVESTMENT SERVICES, INC.
May 19, 2014 - April 10, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 12, 2014 - April 10, 2017
RAYMOND JAMES & ASSOCIATES, INC.
November 26, 2013 - March 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2013 - March 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2010 - November 25, 2013
MORGAN STANLEY
June 1, 2009 - November 25, 2013
MORGAN STANLEY
May 17, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
