Pratul V. Agnihotri
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.
Pratul Victor Agnihotri, who also goes by VIctor Agnihotri, Pratol Victor Agnihotri, Pratul Victor Agnihotri, was a registered financial professional .
Pratul is a previously registered financial professional and started their career in finance in 1999. Pratul had worked at 11 firms and has passed the 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
July 11, 2019 - October 30, 2020
SW FINANCIAL
October 26, 2017 - January 30, 2019
SPARTAN CAPITAL SECURITIES, LLC
February 19, 2010 - October 20, 2017
AEGIS CAPITAL CORP.
December 5, 2008 - March 2, 2010
GUNNALLEN FINANCIAL, INC
March 17, 2005 - October 27, 2008
BASIC INVESTORS INC.
September 2, 2004 - March 18, 2005
J.P. TURNER & COMPANY, L.L.C.
April 30, 2004 - October 19, 2004
LH ROSS & COMPANY, INC.
August 20, 2003 - April 29, 2004
HARRISON SECURITIES, INC.
July 3, 2002 - August 26, 2003
JOSEPH STEVENS & CO., INC.
March 12, 2002 - July 12, 2002
MAY, DAVIS GROUP INC.
June 18, 2001 - March 11, 2002
MILESTONE GROUP MANAGEMENT LLC
October 19, 1999 - November 14, 2000
MAY, DAVIS GROUP 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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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