Dharmi C. Parikh
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.
Dharmi Cookie Parikh, who also goes by Dharmi A Mehta, Dharmi Ajit Mehta, Dharmi Mehta, Dharmi Parikh, was a registered financial professional .
Dharmi is a previously registered financial professional and started their career in finance in 2005. Dharmi had worked at 3 firms and has passed the Series 66 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
June 10, 2011 - January 10, 2012
TD AMERITRADE, INC.
February 12, 2008 - December 24, 2009
TD AMERITRADE, INC.
September 14, 2006 - December 7, 2007
TD AMERITRADE, INC.
June 29, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
June 29, 2005 - August 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
