Sarangi A. Bhatia
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.
Sarangi Ashokkumar Bhatia, who also goes by Sarangi Patel Bhatia, Sarangi Asak Patel, Sarangi Ashokkumar Patel Miss, Sarangi Ashokkumar Patel, was a registered financial professional .
Sarangi is a previously registered financial professional and started their career in finance in 2000. Sarangi had worked at 7 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
December 8, 2005 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 8, 2005 - November 19, 2012
OSAIC FA, INC.
August 19, 2003 - November 15, 2005
MORGAN STANLEY DW INC.
January 8, 2003 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2001 - December 11, 2002
ICLEARING LLC
June 30, 2001 - August 9, 2001
DATEK ONLINE FINANCIAL SERVICES LLC
November 9, 2000 - June 30, 2001
ICAPITAL MARKETS LLC
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
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.
