Sundeep Duggal
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.
Sundeep Duggal, who also goes by Sunny Duggal, was a registered financial professional .
Sundeep is a previously registered financial professional and started their career in finance in 2006. Sundeep had worked at 4 firms and has passed the Series 63, SIE, Series 3, 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
November 24, 2017 - November 13, 2018
LIQUIDNET, INC.
September 5, 2012 - October 11, 2017
SG AMERICAS SECURITIES, LLC
September 4, 2009 - August 21, 2012
NATWEST MARKETS SECURITIES INC.
October 18, 2006 - June 17, 2009
GOLDMAN SACHS & CO. 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: 3/9/2011
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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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