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Raymond Baldeo Balroop

Raymond B. Balroop

AVESTAR CAPITAL | Client Services Manager
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4606730
Raymond Baldeo Balroop

Professional summary

Raymond Baldeo Balroop, who also goes by Raymond Balroop, is a registered financial advisor currently at AVESTAR CAPITAL, LLC located in New York, New York.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Raymond has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Biography

After spending fifteen years in the life insurance industry learning it from the ground level up, Raymond Balroop has joined LCK Wealth and LK Wealth & Asset Management as a Client Services Manager. His responsibilities include account operations, client service engagement, and supporting our team with client reporting and analysis. Raymond is a graduate of Southern New Hampshire University where he received his MBA in Quantitative Analysis. He leveraged both his educational and professional experience to modernize workflows and ensure the client/ advisor experience was seamless and symbiotic. In his spare time, he and his wife help families advocate for their children who are on the Autism Spectrum.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Raymond Balroop

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) - RIA

Click below to view Raymond Baldeo Balroop's CRS (Customer Relationship Summary).
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

January 29, 2025 - Present

AVESTAR CAPITAL, LLC

Office #1: 400 Madison Avenue Floor 21, New York, NY 10017
RIA
CRD#: 287525
NEW YORK, NY
Past

October 14, 2022 - October 11, 2024

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
New York, NY
Past

June 14, 2022 - October 11, 2024

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

January 28, 2003 - October 20, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 28, 2003 - October 20, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AVESTAR CAPITAL, LLC
3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA
Registered Investment Advisory firm - (3/9/2017 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(1/29/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/18/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AC
AVESTAR CAPITAL, LLC
3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA
Registered Investment Advisory firm - (3/9/2017 Approved)
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Contact information

Main Address
400 Madison Avenue Floor 21, New York, NY 10017
Mailing Address
Phone number
(212) 706-4140
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AVESTAR CAPITAL & 3ALPHA ASSET MANAGEMENT COMBINED BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts194
AUM (Assets Under Management)$ 1,531,369,044

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

AVESTAR CAPITAL, LLC

Client Services ManagerCRD#: 287525New York, NY 10017

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Contact information

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