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Ramesh Puranik

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CRD#: 5032629
RP

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.

Ramesh Puranik was a registered financial professional .

Ramesh is a previously registered financial professional and started their career in finance in 2006. Ramesh had worked at 1 firm and has passed the Series 63, Series 65, SIE, Series 62, Series 27 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 26, 2014 - September 18, 2019

OKCOIN SECURITIES LLC

BD
CRD#: 136696
SAN FRANSISCO, CA
Past

January 23, 2006 - July 8, 2013

OKCOIN SECURITIES LLC

BD
CRD#: 136696
HOUSTON, TX

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: 12/15/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/16/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 10/17/2005
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/13/2005
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/2005
General Securities Principal Examination

Current Firm

OS
OKCOIN SECURITIES LLC
DEEP ATS, LLC | SPOT QUOTE LLC | OKCOIN SECURITIES LLC

CRD#: 136696 / SEC#: , 8-67038

BD
Terminated by SEC on 07/13/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OKCOIN USA INC.OWNER
FANG, HONGCEO, PRINCIPAL AND DIRECTOR5580624
GOLDMAN, CLIFFORD HOWARDPRINCIPAL, FINOP, CCO224292
XU, MINGXINGDIRECTOR7152614

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

OKCOIN SECURITIES LLC

CRD#: 136696

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