Seema H. Gada
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.
Seema Hansraj Gada, who also goes by Seema Hanbraj Gada, was a registered financial professional .
Seema is a previously registered financial professional and started their career in finance in 2005. Seema had worked at 2 firms and has passed the Series 63, Series 3, Series 55 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
December 8, 2011 - November 9, 2012
COWEN EQUITY FINANCE LP
October 13, 2005 - June 30, 2011
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 55
Date: 2/10/2006
Limited Representative-Equity Trader ExamCurrent Firm
COWEN EQUITY FINANCE LP
CRD#: 10019 / SEC#: , 8-25976
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN STRUCTURED HOLDINGS INC. | LIMITED PARTNER | |
| COWEN EQUITY FINANCE GROUP LLC | GENERAL PARTNER | |
| FIORELLO, JOHN | CHIEF COMPLIANCE OFFICER | 2883294 |
| HOLMES, JOHN | CHIEF FINANCIAL OFFICER (11/2012) CHIEF ADMINISTRATIVE OFFICER (4/2013) AND CHIEF EXECUTIVE OFFICER (8/2014) | 1281617 |
| KHOWONG, PHONGSY | FINOP | 2379055 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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