PS
Prabu Soundararajan
SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
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CRD#: 4760642
PS
Professional summary
Prabu Soundararajan is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Prabu is registered as a RR (Registered Representative) and started their career in finance in 2005. Prabu has worked at 10 firms and has passed the Series 63, SIE, Series 79, 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 Prabu Soundararajan'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
June 2, 2023 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281BD
CRD#: 2739
NEW YORK, NY
Past
October 2, 2021 - June 15, 2023
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
November 19, 2018 - October 13, 2021
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
May 25, 2017 - September 7, 2018
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
November 11, 2014 - May 23, 2017
RESOURCE SECURITIES LLC
BD
CRD#: 133022
NEW YORK, NY
Past
October 18, 2012 - October 29, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
January 31, 2012 - February 23, 2012
PENSERRA SECURITIES, LLC
BD
CRD#: 145994
ORINDA, CA
Past
January 26, 2011 - January 27, 2012
VCG SECURITIES, LLC
BD
CRD#: 149083
NEW YORK, NY
Past
May 13, 2008 - January 25, 2010
STONECASTLE SECURITIES, LLC
BD
CRD#: 131211
NEW YORK, NY
Past
March 8, 2005 - March 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(6/2/2023)
RR
Alaska(6/2/2023)
RR
Arizona(6/2/2023)
RR
Arkansas(6/2/2023)
RR
California(6/2/2023)
RR
Colorado(6/2/2023)
RR
Connecticut(6/2/2023)
RR
Delaware(6/2/2023)
RR
District of Columbia(6/2/2023)
RR
Florida(6/2/2023)
RR
Georgia(6/2/2023)
RR
Hawaii(6/2/2023)
RR
Idaho(6/2/2023)
RR
Illinois(6/2/2023)
RR
Indiana(6/2/2023)
RR
Iowa(6/2/2023)
RR
Kansas(6/2/2023)
RR
Kentucky(6/2/2023)
RR
Louisiana(6/2/2023)
RR
Maine(6/2/2023)
RR
Maryland(6/2/2023)
RR
Massachusetts(6/2/2023)
RR
Michigan(6/2/2023)
RR
Minnesota(6/2/2023)
RR
Mississippi(6/2/2023)
RR
Missouri(6/2/2023)
RR
Montana(6/2/2023)
RR
Nebraska(6/2/2023)
RR
Nevada(6/2/2023)
RR
New Hampshire(6/2/2023)
RR
New Jersey(6/2/2023)
RR
New Mexico(6/2/2023)
RR
New York(6/2/2023)
RR
North Carolina(6/2/2023)
RR
North Dakota(6/2/2023)
RR
Ohio(6/2/2023)
RR
Oklahoma(6/2/2023)
RR
Oregon(6/2/2023)
RR
Pennsylvania(6/2/2023)
RR
Puerto Rico(6/2/2023)
RR
Rhode Island(6/2/2023)
RR
South Carolina(6/2/2023)
RR
South Dakota(6/2/2023)
RR
Tennessee(6/2/2023)
RR
Texas(6/2/2023)
RR
Utah(6/2/2023)
RR
Vermont(6/2/2023)
RR
Virginia(6/2/2023)
RR
Washington(6/2/2023)
RR
West Virginia(6/2/2023)
RR
Wisconsin(6/2/2023)
RR
Wyoming(6/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED
CRD#: 2739 / SEC#: , 8-3716
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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.
