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SR

Shivkumar Rao

SUNTHAY GRX LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4387333
SR

Professional summary

Shivkumar Rao is a registered financial professional currently at SUNTHAY GRX LLC located in New York, New York.

Shivkumar is registered as a RR (Registered Representative) and started their career in finance in 2002. Shivkumar has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Shivkumar Rao's 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

May 3, 2022 - Present

SUNTHAY GRX LLC

Office #1: 295 Madison Avenue Suite 1707, New York, NY 10017Office #2: 295 Madison Avenue Suite 1707, New York, NY 10017
BD
CRD#: 314554
NEW YORK, NY
Past

January 24, 2017 - July 18, 2019

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

September 22, 2008 - August 9, 2016

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 24, 2002 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/17/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SG
SUNTHAY GRX LLC
SUNTHAY GRX LLC

CRD#: 314554 / SEC#: , 8-70715

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

Main Address
295 Madison Avenue Suite 1707, New York, NY 10017
Mailing Address
295 Madison Avenue Suite 1707, New York, NY 10017
Phone number
(646) 939-4072
Established
New York since 04/14/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SUNTHAY HOLDINGS, LLCMANAGING MEMBER
CRONIN, TIMOTHY EDWARDCEO/CCO/BOARD MEMBER865386
FORTINO, ANGELINAFINOP/PFO/POO6869135
KELLY, PETER JAMESBOARD MEMBER2262174
RAO, SHIVKUMARBOARD MEMBER4387333

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

SUNTHAY GRX LLC

CRD#: 314554New York, NY 10017

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