Payel Farasat
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.
Payel Farasat, who also goes by Payel Ghosh, was a registered financial professional .
Payel is a previously registered financial professional and started their career in finance in 2002. Payel had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - November 20, 2017
LWI FINANCIAL INC.
February 24, 2015 - November 20, 2017
LORING WARD SECURITIES INC.
September 13, 2007 - February 23, 2015
CHARLES SCHWAB & CO., INC.
September 12, 2007 - February 23, 2015
CHARLES SCHWAB & CO., INC.
July 29, 2002 - September 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 8, 2002 - September 4, 2007
AMERIPRISE FINANCIAL SERVICES, 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
LWI FINANCIAL INC.
CRD#: 111861 / SEC#: 801-55934
Contact information
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.
