Gaurav S. Mundra
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.
Gaurav Suresh Mundra was a registered financial professional .
Gaurav is a previously registered financial professional and started their career in finance in 2009. Gaurav had worked at 4 firms and has passed the Series 63, SIE, Series 55, 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 24, 2017 - March 7, 2019
BLOOMBERG TRADEBOOK LLC
October 29, 2014 - November 29, 2016
SMBC NIKKO SECURITIES AMERICA, INC.
March 29, 2011 - February 27, 2014
RBC CAPITAL MARKETS, LLC
November 4, 2009 - April 8, 2011
CREDIT SUISSE SECURITIES (USA) 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
Series 55
Date: 6/6/2011
Limited Representative-Equity Trader ExamCurrent Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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