Parag Saxena
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.
Parag Saxena was a registered financial advisor .
Parag is a previously registered financial advisor and started their career in finance in 2002. Parag had worked at 3 firms and has passed the Series 63, Series 7 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
July 15, 2005 - May 3, 2006
AT INVESTOR SERVICES, INC.
April 28, 2003 - May 19, 2006
INVESCO PRIVATE CAPITAL, INC.
February 1, 2002 - July 15, 2005
GPC SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AT INVESTOR SERVICES, INC.
CRD#: 47837 / SEC#: , 8-51912
Contact information
Documents
Direct owners and executive officers
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.
