Saagar K. Gupta
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.
Saagar Kamal Gupta was a registered financial professional .
Saagar is a previously registered financial professional and started their career in finance in 2005. Saagar had worked at 4 firms and has passed the Series 65, 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
March 27, 2017 - March 22, 2023
SG3 MANAGEMENT, LLC
April 26, 2010 - February 25, 2014
HAP TRADING, LLC
July 10, 2006 - March 29, 2010
SAL EQUITY TRADING, GP
July 20, 2005 - February 22, 2006
SUSQUEHANNA INVESTMENT GROUP
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: 8/10/2006
Limited Representative-Equity Trader ExamCurrent Firm
SG3 MANAGEMENT, LLC
CRD#: 285449 / SEC#: 801-121787
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 18,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2022 | ||
| 03/18/2022 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/17/2021 |
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.
