Rashma Solberg
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.
Rashma Solberg, who also goes by Rashma Wadhwa, Rashu Wadhwa, was a registered financial professional .
Rashma is a previously registered financial professional and started their career in finance in 2000. Rashma had worked at 4 firms and has passed the Series 65, Series 63, SIE, 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
August 1, 2013 - June 22, 2015
CREDIT SUISSE SECURITIES (USA) LLC
July 15, 2013 - June 22, 2015
CREDIT SUISSE SECURITIES (USA) LLC
May 29, 2007 - June 26, 2013
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 26, 2013
CITIGROUP GLOBAL MARKETS INC.
November 14, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 14, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 2, 2004 - October 20, 2005
ADVEST, INC.
August 2, 2004 - October 20, 2005
ADVEST, INC.
October 16, 2000 - August 13, 2004
CITIGROUP GLOBAL MARKETS INC.
September 7, 2000 - August 13, 2004
CITIGROUP GLOBAL MARKETS INC.
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
