Saransh Sharma
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.
Saransh Sharma was a registered financial professional .
Saransh is a previously registered financial professional and started their career in finance in 2004. Saransh had worked at 6 firms and has passed the Series 63 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
March 5, 2012 - December 17, 2012
SOURCE CAPITAL GROUP, INC.
April 9, 2010 - October 28, 2010
LAIDLAW & COMPANY (UK) LTD.
May 16, 2006 - October 7, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 16, 2005 - April 13, 2005
TAFFERER TRADING, LLC
November 10, 2004 - February 26, 2005
GUNNALLEN FINANCIAL, INC
August 23, 2004 - November 2, 2004
LAIDLAW & COMPANY (UK) LTD.
February 16, 2004 - August 23, 2004
SANDS BROTHERS & CO., LTD.
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
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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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