Parag Agarwal
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.
Parag Agarwal was a registered financial professional .
Parag is a previously registered financial professional and started their career in finance in 2004. Parag had worked at 4 firms and has passed the Series 63, Series 87, Series 86 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
December 3, 2012 - January 31, 2013
TOPEKA CAPITAL MARKETS INC.
August 2, 2007 - November 12, 2012
UBS SECURITIES LLC
April 19, 2006 - June 27, 2007
JEFFERIES LLC
March 26, 2004 - February 23, 2006
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
