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UR

Uday M. Raval

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CRD#: 4921150
UR

Professional summary

Uday M Raval was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Uday is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Uday had worked at 1 firm, which includes KARVY INC..

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 16, 2005 - April 30, 2014

KARVY, INC.

BD
CRD#: 134512
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2005
General Securities Principal Examination

Current Firm

KI
KARVY, INC.
KARVY, INC.

CRD#: 134512 / SEC#: , 8-66840

BD
Terminated by SEC on 08/28/2017
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/18/2003
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KARVY STOCK BROKING LTD.OWNER
DAHODWALA, SHABBIRPRESIDENT/DIRECTOR/FINOP/CCO4321921
PARTHASARATHY, COMANDURDIRECTOR5015766
POTLURI, PRASAD VDIRECTOR5015764
RAMAKRISHNA, MULPURU SDIRECTOR5015768
YUGANDHAR, MEKADIRECTOR5015772

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.

Company Information

KARVY, INC.

CRD#: 134512

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