Gurpreet S. Sabharwal
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.
Gurpreet Singh Sabharwal, who also goes by Pete Sabharwal, was a registered financial professional .
Gurpreet is a previously registered financial professional and started their career in finance in 1999. Gurpreet had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 4 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
December 11, 2011 - December 10, 2012
PHD CAPITAL
August 6, 2004 - October 13, 2004
NEWBRIDGE SECURITIES CORPORATION
June 25, 2004 - July 13, 2004
OBSIDIAN FINANCIAL GROUP, LLC
April 1, 2004 - June 10, 2004
FIRST MONTAUK SECURITIES CORP.
June 24, 2003 - March 8, 2004
WOODSTOCK FINANCIAL GROUP, INC.
March 1, 2002 - August 21, 2002
J.P. TURNER & COMPANY, L.L.C.
August 30, 2001 - May 15, 2002
DPEC CAPITAL, INC.
April 9, 1999 - September 18, 2001
PRIME CHARTER LTD.
State Registrations and Notice Filings
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Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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