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Rajgopalan Nandkumar

CRD# 4633523·Registered 2003 - 2012
Previously Registered: Being a previously registered professional could mean that Rajgopalan 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.

Professional Summary

Rajgopalan Nandkumar was a registered financial advisor. Rajgopalan was a previously registered financial professional and started their career in finance 2003 - 2012. Rajgopalan had worked at 4 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

23 years in the financial services industry

Current & Past Employments

U.S. FINANCIAL INVESTMENTS, INC.·CRD# 120804
BD
New York, NY
February 17, 2011 - October 1, 2012
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
February 25, 2008 - February 11, 2011
COUNTRYWIDE SECURITIES CORPORATION·CRD# 10598
BD
New York, NY
October 19, 2004 - February 25, 2008
PERFORMANCE TRUST CAPITAL PARTNERS, LLC·CRD# 36155
BD
Chicago, IL
April 23, 2003 - October 18, 2004

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Current Firm

UF
U.S. FINANCIAL INVESTMENTS, INC.

U.S. FINANCIAL INVESTMENTS, INC. | US FINANCIAL INVESTMENTS CORP.

CRD#: 120804 / SEC#: 8-65347
BD
Terminated by SEC on 04/29/2014

Contact Information

Established

New Jersey since 07/25/2001

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AGARWAL, RAJESHPRESIDENT2083441
AGARWAL, RAJESHCHIEF COMPLIANCE OFFICER2083441
WU, JIPINGCHIEF FINANCIAL OFFICER2177377
HING, RONALD JOHNOPERATIONS PRINCIPLE, ROSFP4580235
BELLINFANTE, RICHARD BMUNICIPLE SECURITIES PRINCIPLE815239

Disclosures

Regulatory Event

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2003About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Apr 2003About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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