Aditya B. Mukerji
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.
Aditya B Mukerji, who also goes by Aditya Mukerji, Andy Mukerji, was a registered financial advisor .
Aditya is a previously registered financial advisor and started their career in finance in 1970. Aditya had worked at 4 firms and has passed the Series 63, Series 5, Series 1, Series 53 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
October 12, 2004 - December 31, 2008
REDWOOD SECURITIES GROUP, INC.
February 5, 1991 - April 23, 2008
REDWOOD SECURITIES GROUP, INC.
September 12, 1986 - August 24, 1990
SUTRO & CO. INCORPORATED
April 26, 1978 - September 18, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 24, 1973 - April 23, 1978
BIRR, WILSON & CO., INC.
December 7, 1970 - May 12, 1973
SUTRO & CO. INCORPORATED
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
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 1
Date: 8/1/1968
Registered Representative ExaminationCurrent Firm
REDWOOD SECURITIES GROUP, INC.
CRD#: 27536 / SEC#: , 8-43182
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
