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LG

Laxmi Goel

NATIONWIDE PLANNING ASSOCIATES
Fair Lawn, NJ 07410
Some features on this profile are disabled
CRD#: 4372395
LG

Professional summary

Laxmi Goel, who also goes by Goel Laxmi, is a registered financial professional currently at NATIONWIDE PLANNING ASSOCIATES INC. located in Fair Lawn, New Jersey.

Laxmi is registered as a RR (Registered Representative) and started their career in finance in 2001. Laxmi has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Goel Laxmi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laxmi Goel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 11, 2013 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410
BD
CRD#: 31029
Fair Lawn, NJ
Past

January 1, 2005 - October 3, 2012

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
SCARSDALE, NY
Past

April 24, 2001 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NP
NATIONWIDE PLANNING ASSOCIATES INC.
NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029 / SEC#: , 8-45310

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410
Mailing Address
32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410
Phone number
(201) 476-0029
Established
New Jersey since 10/26/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ABRAMENKO, PETERCO-CHAIRMAN OF THE BOARD1405677
DE POL, MICHAEL JOHNFOUNDER AND CHAIRMAN OF THE BOARD2087651
COLLEARY, JAMES SCHIEF COMPLIANCE OFFICER5844640
KARALEWICH, MICHAEL JCHIEF EXECUTIVE OFFICER/ROSFP/FINOP2910052

Disclosures

Regulatory Event3
Bond1

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.

Company Information

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029Fair Lawn, NJ 07410

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