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SG

Sarathi Giridhar

Some features on this profile are disabled
CRD#: 4100647
SG

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.

Sarathi Giridhar, CFP® was a registered financial professional .

Sarathi is a previously registered financial professional and started their career in finance in 2000. Sarathi had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) SCHWAN FINANCIAL GROUP - DBA - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401,REPRESENTATIVE, 95% OF TIME SPENT, ESTATE AND FINANCIAL PLANNING INCLUSIVE OF INVESTMENT ADVISORY, COMPENSATED BY SALARY AND PROFITS; ENTITIES OF SCHWAN FINANCIAL GROUP LLC: SCHWAN FINANCIAL ADVISORS LLC - RIA, INVESTMENT ADVISOR REPRESENTATIVE,LESS THAN 1% OF TIME SPENT; SCHWAN FINANCIAL AGENCY, LLC - FIXED INSURANCE, LESS THAN 1% OF TIME SPENT; SFG ACCOUNTING, PLLC - TAX PREPARATION, ACCOUNTING, AND PAYROLL SERVICES, SOLE MEMBER, 25% OF TIME SPENT 2)SCHWAN FINANCIAL REAL ESTATE. LLC - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401, MEMBER AND 24% OWNER, ACCOUNTING OF RENTAL INCOME AND EXPENSES, LESS THAN 1% OF TIME SPENT, COMPENSATED ON RENT REVENUE. 3)SARATHI GIRIDHAR, INC. - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401, PRESIDENT AND SOLE OWNER, OWNS 24% INTERESTE IN SCHWAN FINANCIAL GROUP, LESS THAN 1% OF TIME SPENT, NO COMPENSATION, INCOME FLOWS THROUGH ENTITY. 4) GIRIDHAR FAMILY LP - 1611 NORTH KLINE STREET, ABERDEEN, SD 57401, OWNS PUBLICY TRADED SECURITIES AND MINORITY INTEREST IN ETHANOL, GENERAL PARTNER, LESS THAN 1% OF TIME SPENT, $0 COMPENSATION. 5)SANGAM, LLC - 401 VIVIAN STREET SOUTH, ABERDEEN, SD 57401, OWNS INTEREST IN ANOTHER LLC WHICH OWNS DOLLAR STORE, MEMBER, PREPARE TAX RETURNS, LESS THAN 1% OF TIME SPENT, COMPENSATED BY POTENTIAL GROWTH AND CASH FLOW. 6) SHANNON KOEHLER TRUST - INDEPENDENT TRUSTEE, IRREVOCABLE TRUST THAT HOLDS LIFE INSURANCE POLICY, LESS THAN 1% OF TIME SPENT, $0 COMPENSATION.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1999

Experience

Past

July 15, 2010 - October 31, 2023

KOVACK SECURITIES INC.

BD
CRD#: 44848
ABERDEEN, SD
Past

September 20, 2005 - August 6, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
ABERDEEN, SD
Past

December 12, 2003 - November 24, 2023

SCHWAN FINANCIAL ADVISORS, LLC

RIA
CRD#: 127313
ABERDEEN, SD
Past

June 19, 2002 - December 2, 2003

EIDE BAILLY ADVISORS, LLC

RIA
CRD#: 113564
ABERDEEN, SD
Past

February 1, 2001 - September 20, 2005

CAP PRO BROKERAGE SERVICES, INC.

BD
CRD#: 103953
COLUMBUS, OH
Past

April 3, 2000 - February 6, 2001

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/31/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/29/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/31/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

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.

Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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