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AH

Anusha Harid-paoletti

LIQUIDLY IAS
NEW YORK, NY 10028
Some features on this profile are disabled
CRD#: 4981273
AH

Professional summary

Anusha Harid-paoletti, who also goes by Anusha Harid, is a registered financial professional currently at LIQUIDLY IAS, LLC located in New York, New York.

Anusha is registered as a RR (Registered Representative) and started their career in finance in 2006. Anusha has worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anusha Harid

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 Anusha Harid-paoletti's CRS (Customer Relationship Summary).
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

January 2, 2020 - Present

LIQUIDLY IAS, LLC

Office #1: 40 E 83rd Street, New York, NY 10028
BD
CRD#: 299963
NEW YORK, NY
Past

September 21, 2006 - October 31, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/20/2021)
RR
Mississippi
(2/11/2021)
RR
New York
(8/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/19/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/18/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/24/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LIQUIDLY IAS, LLC
LIQUIDLY IAS, LLC

CRD#: 299963 / SEC#: , 8-70270

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

Main Address
40 E 83rd Street, New York, NY 10028
Mailing Address
40 E 83rd Street 9th Floor, New York, NY 10028
Phone number
(914) 320-3625
Established
Delaware since 12/06/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIQUIDLY, INC.MEMBER
HARID-PAOLETTI, ANUSHAPRESIDENT/CEO/CCO
POSTREL, HELENE BERSONFINOP/PFO/POO

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

LIQUIDLY IAS, LLC

CRD#: 299963New York, NY 10028

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