Raghu Raghavendra
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.
Raghu Raghavendra was a registered financial professional .
Raghu is a previously registered financial professional and started their career in finance in 2004. Raghu had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2017 - September 12, 2017
ALT FUND DISTRIBUTORS LLC
July 6, 2012 - May 19, 2015
BNY MELLON CAPITAL MARKETS, LLC
May 26, 2010 - June 29, 2011
SANTANDER INVESTMENT SECURITIES INC.
January 14, 2005 - July 7, 2006
BARCLAYS CAPITAL INC.
August 10, 2004 - November 18, 2004
COMMERZBANK CAPITAL MARKETS CORP.
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
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
