Milind N. Parate
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.
Milind Natthu Parate was a registered financial professional .
Milind is a previously registered financial professional and started their career in finance in 1999. Milind had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 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 10, 2014 - June 23, 2017
B. RILEY SECURITIES, INC.
November 26, 2013 - September 12, 2014
DELOITTE CORPORATE FINANCE LLC
December 11, 2009 - December 8, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
May 24, 2005 - February 28, 2008
BANC OF AMERICA SECURITIES LLC
May 11, 2004 - March 3, 2005
THOMAS WEISEL PARTNERS LLC
August 20, 2001 - April 30, 2004
ABN AMRO INCORPORATED
May 3, 1999 - February 25, 2002
FERGHANA SECURITIES, 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
Exams
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
