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Laxmi Saroja Poruri

CRD# 4431357·Registered 2001 - 2021
Previously Registered: Being a previously registered professional could mean that Laxmi 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.

Professional Summary

Laxmi Saroja Poruri was a registered financial advisor. Laxmi was a previously registered financial professional and started their career in finance 2001 - 2021. Laxmi had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years in the financial services industry

Current & Past Employments

7M SECURITIES, LLC·CRD# 153895
BD
Charlotte, NC
September 20, 2018 - February 23, 2021
GT SECURITIES, INC.·CRD# 116012
BD
Los Angeles, CA
January 6, 2016 - January 11, 2017
RBC SECURITIES, INC·CRD# 103705
BD
San Francisco, CA
November 5, 2012 - February 11, 2014
PGR SECURITIES, LLC·CRD# 133299
BD
San Francisco, CA
December 10, 2010 - March 14, 2011
PGR SECURITIES, LLC·CRD# 133299
BD
Mountain View, CA
November 3, 2005 - January 8, 2009
GERSON LEHRMAN GROUP BROKERAGE SERVICES LLC·CRD# 111566
BD
New York, NY
September 10, 2001 - November 2, 2001

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Current Firm

7S
7M SECURITIES, LLC

7M SECURITIES, LLC

CRD#: 153895 / SEC#: 8-68587
BD
Terminated by SEC on 04/15/2024

Contact Information

Established

North Carolina since 03/03/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
7 MILE ADVISORS NEWCO, LLCOWNER—
DAVIS, JAMES A IIIPRINCIPAL5564463
DAVIS, LEROY WEBBMANAGER, FINOP, CFO, EXECUTIVE REP., HOME OFFICE SUPERVISOR5423623
JOHNSTON, ANDREW KEVINMANAGER, CCO, AML SUPER.5498690

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2012About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2005About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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