Shanoop Dhiren Kothari
Professional Summary
Shanoop Dhiren Kothari was a registered financial advisor. Shanoop was a previously registered financial professional and started their career in finance 2005 - 2021. Shanoop had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
SP SECURITIES LLC
Contact Information
Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Phone Number
(713) 819-8980Established
Texas since 01/15/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | — |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | — |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | — |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jun 2024About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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