RC
Rohit Chaku
BARINGS SECURITIES LLC
CHARLOTTE, NC 28202
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CRD#: 4684632
RC
Professional summary
Rohit Chaku is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.
Rohit is registered as a RR (Registered Representative) and started their career in finance in 2003. Rohit has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Rohit Chaku's 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®
NoneExperience
Current
April 10, 2025 - Present
BARINGS SECURITIES LLC
Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202BD
CRD#: 36929
CHARLOTTE, NC
Past
January 3, 2023 - May 15, 2023
CROSS POINT CAPITAL LLC
BD
CRD#: 136223
New York, NY
Past
June 13, 2005 - November 12, 2021
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
September 26, 2003 - May 26, 2005
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/10/2025)
RR
Alaska(4/10/2025)
RR
Arizona(4/10/2025)
RR
Arkansas(4/10/2025)
RR
California(4/10/2025)
RR
Colorado(4/10/2025)
RR
Connecticut(4/10/2025)
RR
Delaware(4/10/2025)
RR
District of Columbia(4/10/2025)
RR
Florida(4/10/2025)
RR
Georgia(4/10/2025)
RR
Hawaii(4/10/2025)
RR
Idaho(4/10/2025)
RR
Illinois(4/10/2025)
RR
Indiana(4/10/2025)
RR
Iowa(4/10/2025)
RR
Kansas(4/10/2025)
RR
Kentucky(4/10/2025)
RR
Louisiana(4/10/2025)
RR
Maine(4/10/2025)
RR
Maryland(4/10/2025)
RR
Massachusetts(4/10/2025)
RR
Michigan(4/10/2025)
RR
Minnesota(4/10/2025)
RR
Mississippi(4/10/2025)
RR
Missouri(4/10/2025)
RR
Montana(4/10/2025)
RR
Nebraska(4/10/2025)
RR
Nevada(4/10/2025)
RR
New Hampshire(4/10/2025)
RR
New Jersey(4/10/2025)
RR
New Mexico(4/10/2025)
RR
New York(4/10/2025)
RR
North Carolina(4/10/2025)
RR
North Dakota(4/10/2025)
RR
Ohio(4/10/2025)
RR
Oklahoma(4/15/2025)
RR
Oregon(4/10/2025)
RR
Pennsylvania(4/10/2025)
RR
Rhode Island(4/10/2025)
RR
South Carolina(4/10/2025)
RR
South Dakota(4/10/2025)
RR
Tennessee(4/10/2025)
RR
Texas(4/10/2025)
RR
Utah(4/10/2025)
RR
Vermont(4/10/2025)
RR
Virginia(4/10/2025)
RR
Washington(4/10/2025)
RR
West Virginia(4/10/2025)
RR
Wisconsin(4/10/2025)
RR
Wyoming(4/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 12/29/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
