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Ramnik Singh Aulakh

CRD# 4890774·Registered 2006 - 2014
Barred: Ramnik Singh Aulakh was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Ramnik Singh Aulakh was a registered financial advisor. Ramnik was a previously registered financial advisor and started their career in finance 2006 - 2014. Ramnik had worked at 4 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

JADE PRIVATE WEALTH MANAGEMENT, LLC·CRD# 150708
RIA
Mclean, VA
November 10, 2009 - January 3, 2014
SUCCESS TRADE SECURITIES, INC.·CRD# 46027
BD
Mclean, VA
March 30, 2009 - April 23, 2013
LPL FINANCIAL LLC·CRD# 6413
RIA
Gaithersburg, MD
June 12, 2008 - April 6, 2009
LPL FINANCIAL LLC·CRD# 6413
BD
Gaithersburg, MD
June 12, 2008 - April 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Washington, DC
June 29, 2006 - June 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Washington, DC
January 27, 2006 - June 12, 2008

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Current Firm

JP
JADE PRIVATE WEALTH MANAGEMENT, LLC

JADE PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 150708

Contact Information

Main Address

1401 Chain Bridge Road Suite 202, Mclean, VA 22101

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2006About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Aug 2005About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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