Sreeniwas V. Prabhu
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.
Sreeniwas Vikram Prabhu, who also goes by Sreeniwas V. Prabhu, was a registered financial advisor .
Sreeniwas is a previously registered financial advisor and started their career in finance in 2000. Sreeniwas had worked at 2 firms and has passed the Series 66 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
February 12, 2010 - September 11, 2012
LPE SECURITIES, LLC
April 26, 2000 - May 31, 2005
TRUIST SECURITIES, INC.
April 25, 2000 - May 31, 2005
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LPE SECURITIES, LLC
CRD#: 117851 / SEC#: , 8-53609
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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