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RP

Ranganathan Purushothaman

NUVAMA FINANCIAL SERVICES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4970770
RP

Professional summary

Ranganathan Purushothaman is a registered financial professional currently at NUVAMA FINANCIAL SERVICES INC. located in New York, New York.

Ranganathan is registered as a RR (Registered Representative) and started their career in finance in 2005. Ranganathan has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, Series 99TO, Series 82TO, SIE, Series 62, Series 24 and Series 27 exams.

top-8-questions

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) - BD

Click below to view Ranganathan Purushothaman's CRS (Customer Relationship Summary).

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

Current

February 24, 2015 - Present

NUVAMA FINANCIAL SERVICES INC.

Office #1: 450 Lexington Ave Suite 4-216, New York, NY 10017
BD
CRD#: 172455
NEW YORK, NY
Past

October 9, 2009 - May 2, 2013

IIFL CAPITAL INC.

BD
CRD#: 149073
NEW YORK, NY
Past

December 16, 2005 - July 21, 2008

KOTAK MAHINDRA, INC.

BD
CRD#: 47251
WHITE PLAINS, 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: 8/26/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/9/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/31/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 9/25/2008
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/15/2005
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NUVAMA FINANCIAL SERVICES INC.
EDELWEISS FINANCIAL SERVICES INC. | NUVAMA FINANCIAL SERVICES INC.

CRD#: 172455 / SEC#: , 8-69508

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
450 Lexington Ave Suite 4-216, New York, NY 10017
Mailing Address
450 Lexington Ave Suite 4-216, New York, NY 10017
Phone number
(845) 367-2436
Established
New York since 05/29/2013
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EDELWEISS SECURITIES LTD.SOLE OWNER
HELLER, JEFFREY PHILIPFINOP, CFO3139370
PURUSHOTHAMAN, RANGANATHANCCO, PRESIDENT4970770

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

NUVAMA FINANCIAL SERVICES INC.

CRD#: 172455New York, NY 10017

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