Mohan Mike Rao
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.
Mohan Mike Rao, who also goes by Mike Rao, Mohan Rao, was a registered financial professional .
Mohan Mike is a previously registered financial professional and started their career in finance in 2010. Mohan Mike had worked at 3 firms and has passed the Series 66, Series 63, 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
October 16, 2012 - February 25, 2014
CAPITAL ONE ADVISORS, LLC
October 16, 2012 - February 25, 2014
CAPITAL ONE INVESTING, LLC
April 7, 2011 - November 22, 2011
TD AMERITRADE, INC.
July 14, 2010 - November 22, 2011
TD AMERITRADE, INC.
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
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
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.
