Sandeep Aggarwal
Professional summary
Sandeep Aggarwal was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sandeep is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Sandeep had worked at 4 firms, which includes CARIS & COMPANY INC., CANACCORD GENUITY SECURITIES LLC, OPPENHEIMER & CO. INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2010 - July 1, 2011
CARIS & COMPANY, INC.
April 3, 2008 - April 6, 2010
CANACCORD GENUITY SECURITIES LLC
May 9, 2007 - March 17, 2008
OPPENHEIMER & CO. INC.
December 8, 2005 - May 18, 2007
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CARIS & COMPANY, INC.
CRD#: 104235 / SEC#: , 8-52713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COX, THOMAS JAMES | CHIEF COMPLIANCE OFFICER | 2594977 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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