Ravinder K. Jain
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.
Ravinder Kumar Jain, who also goes by Ravi K Jain, was a registered financial professional .
Ravinder is a previously registered financial professional and started their career in finance in 2003. Ravinder had worked at 6 firms and has passed the Series 63, Series 65 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
June 12, 2023 - December 31, 2024
GIAN ADVISORS, LLC
September 12, 2011 - December 31, 2021
GIAN ADVISORS, LLC
May 1, 2008 - May 2, 2011
SECURITIES NETWORK LLC
January 28, 2008 - May 2, 2011
SECURITIES NETWORK LLC
February 28, 2007 - February 4, 2008
SAFE HARBOR ADVISORS, INC.
November 17, 2006 - February 4, 2008
SHS SECURITIES, INC.
January 19, 2006 - November 14, 2006
CAMBRIDGE LEGACY SECURITIES L.L.C.
September 3, 2003 - November 14, 2006
ONYX WEALTH ADVISORS, INC.
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
GIAN ADVISORS, LLC
CRD#: 158710 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 3,750,000 |
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.
