Utpal Diwan
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.
Utpal Diwan was a registered financial professional .
Utpal is a previously registered financial professional and started their career in finance in 2006. Utpal had worked at 2 firms and has passed the Series 65, Series 63 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
August 31, 2020 - December 8, 2023
99RISES INC.
September 14, 2006 - February 12, 2008
LEHMAN BROTHERS 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
99RISES INC.
CRD#: 309803 / SEC#: 801-119385
Contact information
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 539,417 |
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.
